Member Name Withheld

Member Name Withheld
Suffolk, UK

Complaint

It was alleged that in connection with attempts by the Institute to undertake monitoring of a firm, the respondent failed to respond on a timely basis to communications from the Institute and/or failed to co-operate promptly and effectively with the Institute or any of its staff or Conduct Committees in breach of IFA Bye-law 11.2 (d)

Finding

The Regulatory Committee found that there was a prima facie case to answer that rendered the respondent liable to disciplinary action under IFA Bye-law 11.2 (c).

Consent Order

Severe Reprimand, fine of £2,500 and costs of £651