United Kingdom: FSA prohibits an individual

Posted by nileshkokane on 9 November, 2010

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This item was filled under [ Europe, Financial Regulators ]

On November 03, 2010 the Financial Services Authority (FSA) published that on 27 September 2010, it prohibited Fabio Massimo De Biase from performing any function in relation to any regulated activity carried on by any authorised or exempt person or exempt professional firm on the grounds that he is not a fit and proper person. The FSA also imposed a financial penalty of £252,239 on him.

The complete article can be found at the Financial Services Authority.

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Tagged with: [ Anjam Saeed Ahmad, breached, compliance risk, exempt person, exempt professional firm, Fabio Massimo De Biase, financial penalty, Financial Services Authority, FSA, imposed, misconduct, notice, prohibited, Prohibited individual, regulatory risk, United Kingdom ]

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