Mrs Rodica Mirela Dunlop AFA MIPA

Mrs Rodica Mirela Dunlop AFA MIPA
Bucharest, Romania

Complaint

The allegations were that Mrs Dunlop breached IFA Membership, Member Firms, Affiliates and Students Regulation 4.2, in that they failed to submit a member return by the prescribed date of 31 December 2021 and failed to co-operate with the administration of the IFA’s compliance and monitoring functions, breaching IFA Bye-law 12.2.

Finding

The Regulatory Committee found that there was a prima facie case to answer that rendered Mrs Dunlop liable to disciplinary action under IFA Bye-law 11.2 (c) and (d) for breaching IFA Membership, Member Firms, Affiliates and Students Regulation 4.2 and IFA Bye-law 12.2.

Consent Order

Reprimand,fine £500 and costs of £403.