FCA decides to ban and fine Daniel Thomas over unauthorised pension transfer advice
The FCA has decided to ban Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly gave defined benefit pension transfer advice he was neither qualified nor allowed to give.
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Ce qui s'est passé
The FCA has decided to ban Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly gave defined benefit pension transfer advice he was neither qualified nor allowed to give.
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The decision may change compliance obligations, market access or operating costs for FCA.
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1 articles · 1 publication d'origine · 1 independantes
- Financial Conduct AuthoritySource primaire · Confirme · EN · 100%FCA decides to ban and fine Daniel Thomas over unauthorised pension transfer advice ↗
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