Tribunal upholds FCA ban on pair involved in pension transfer advice and reduces fines
The Upper Tribunal upheld the FCA's decision to ban Richard Fenech and Heather Dunne from working in financial services. The Tribunal agreed that both acted dishonestly by providing a backdated appointed representative agreement to the FCA.The Tribunal found that Ms Dunne falsely claimed she had given advice to some pension schemes before she had done so. Also, that she had failed to take proper care when giving...
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Ce qui s'est passé
The Upper Tribunal upheld the FCA's decision to ban Richard Fenech and Heather Dunne from working in financial services. The Tribunal agreed that both acted dishonestly by providing a backdated appointed representative agreement to the FCA.The Tribunal found that Ms Dunne falsely claimed she had given advice to some pension schemes before she had done so. Also, that she had failed to take proper care when giving...
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The decision may change compliance obligations, market access or operating costs for FCA.
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- Financial Conduct AuthoritySource primaire · Confirme · EN · 100%Tribunal upholds FCA ban on pair involved in pension transfer advice and reduces fines ↗
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- Tribunal upholds FCA ban on pair involved in pension transfer advice and reduces fines Observé
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- Source primaire · 79/82%
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