FCA slaps restrictions on Hampshire adviser who failed to follow warning

Lisa Campbell has not complied with restrictions imposed on her firm

Hope William-Smith
clock • 1 min read

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...

To continue reading this article...

Join Professional Adviser

  • Unlimited access to real-time news, industry insights and market intelligence.
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters.
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection.
  • Members-only access to the editor’s weekly Friday commentary
 Be the first to hear about our events and awards programmes.



Already a Professional Adviser member?


More on Regulation

Port Talbot, Wales

FCA, FSCS and others praise British Steel work carried out by regulators

BSPS fallout classed as a key ‘issue’ for structured regulatory collaboration

Hope William-Smith
clock 19 April 2023 • 2 min read
	© Zara Farrar - HM Treasury

Advice and pension 'empowerment' vital for over 50s push into work

Call for better advice and pension considerations for the older workforce

Hope William-Smith
clock 17 April 2023 • 1 min read
Inquiry to review defined benefit schemes opened by WPC

Inquiry to review defined benefit schemes opened by WPC

Parliament says DB remains 'of critical importance'

Holly Roach
clock 17 March 2023 • 1 min read