The senior manager of Hampshire advice firm Campbell & Associates Independent Financial Advice has had restrictions imposed on her today (4 April) by the Financial Conduct Authority (FCA).
The watchdog said Lisa Campbell cannot perform any activity for which she has approval, without its written consent. The move follows a supervisory notice issued to the firm on 9 February, the restrictions within which Campbell has not been complying with, the FCA said. According to the FCA register, Campbell was previously approved for several senior management functions (SMF) including SMF3 (executive director), SMF16 (compliance oversight), and SMF17 (money laundering reporting). Campbell & Associates Independent Financial Advice, which is based in Romsey, cannot currently hold...
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