The Financial Conduct Authority (FCA) has banned a financial adviser who continued to operate post-Retail Distribution Review (RDR), despite not holding the qualifications the regulation requires.
Simon Varley, formerly of Dickinsons Financial Management, has been banned from working in financial services and fined £68,300. This is after he knowingly performing a controlled function without approval and provided investment advice to retail customers when he knew he was not qualified or ap...
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