On 1 September 2016, the FCA published the final notice it has issued to Elizabeth Parry, a financial adviser, fining her £109,400 and prohibiting her from carrying on any function relating to any regulated activity. http://bit.ly/2bQef9D The FCA found that Ms Parry failed to act with integrity and be open and honest with the regulator […]

The FCA has banned and publicly censured former Keydata compliance officer Peter Johnson for failing to act with integrity and misleading the FCA. Johnson had lodged an appeal with the Upper Tribunal against the regulatory action, but has since withdrawn his appeal. Upper Tribunal cases will still be held in relation to former Keydata chief […]