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After he provided investment advice to retail customers when he ‘was not qualified or approved to do so’ The Financial Conduct Authority (FCA) has prohibited Simon Varley from working in financial services and fined him £68,300 ($94,227, €78,642). Varley worked at advisory firm Dickinsons Financial Management, where he held a customer adviser function (CF30) until January 2013. The UK watchdog said it has taken this action because he “knowingly performed a controlled function without approval and provided investment advice to retail customers when he knew he was not qualified or approved to do so”. The FCA also found that Varley “failed to act with integrity” as a director and compliance oversight controlled function holder and, as a result, is “not a fit and proper person”. ....
Adviser banned and fined for “lacking honesty and integrity” By Sonia Rach 15 th April 2021 12:49 pm The FCA has fined an adviser £63,800 for “lacking honesty and integrity” and banned him from working in financial services. Former adviser Simon Varley worked at Birmingham based IFA Dickinsons Financial Management Limited, where he held a customer adviser function until January 2013. Following the Retail Distribution Review in 2012, the FCA introduced rules requiring advisers to hold a minimum level of qualification to be approved for this function. As a result, Varley’s customer adviser function was removed in January 2013. However, despite this, Varley continued to advise retail customers between January 2013 and September 2017. ....