The Financial Conduct Authority (FCA) is seeking to ban and fine an adviser £290,000 for a series of failings, including that he falsified the signatures of two clients to register them as 'sophisticated' investors.
The FCA said it uncovered a string of bad behaviour dating from 2005 to 2010 when they investigated Paul Reynolds, adviser at Worcestershire-based Aspire Personal Finance, which has not been authorised...
Partner Insight: Cathi Harrison, director of para-sols and Apricity and Clare Farrell managing director at Northfield Wealth met in London recently to discuss how to stay on top of regulatory risk.
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