United Kingdom: FSA prohibits and imposes penalty against individual
Posted by nileshkokane on 1 July, 2011
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This item was filled under [ Europe, Financial Regulators ]
On June 29, 2011 Financial Services Authority (FSA) published that the authority gave Peter Stephen Fox (“Mr Fox”) a Decision Notice on 29 June 2011 which notified Mr Fox that the FSA had decided to take the following action against him: (1) publish a statement of Mr Fox’s misconduct pursuant to section 66 of the Financial Services and Markets Act 2000 (“the Act”), for failing to comply with Statements of Principle 2 and 7 of the FSA’s Statements of Principle and Code of Practice for Approved Persons.
The original article can be found at Financial Services Authority.
