Mr Glenn Martin AFA ATA 27 March 2023

Mr Glenn Martin AFA ATA
County Durham, UK

Complaint

The allegation was that Mr Martin was liable to disciplinary action under IFA Bye-law 11.2(a) and/or 11.2(c), and/or 11.2(d) in that he breached subsection 115 ‘Professional Behaviour’ of the IFA Code of Ethics effective 1 March 2020 by failing to cooperate with the IFA by failing to explain to the IFA why he had not provided a copy of the retained signed copy of the letter of engagement with the Company client.

Finding

The Disciplinary Committee found the matter proved.

Sentencing Order

Severe reprimand, fine of £2,000, and costs of £1,208.