23/01/2012 - Adviser Non Disclosure Blocks Employment Move
Adviser Non Disclosure Blocks Employment Move.
The FSA rejected his application for authorisation in 2010 on the grounds that he had failed to be open and co-operate as he had not disclosed disputes with 3 former employers, mis-selling claims and contested allegations of fraud.
The upper tribunal supported the FSA findings that David Sime director of Elmswood EU Limited was not a fit and proper person to take on controlled functions at CWS Financial Services.
Advisers United Links: Members ¦ 50% Commission ¦ Regulated Referral ¦ Expat Referral ¦ Tax Trust Wills Referral ¦ Home ¦ Contact Us ¦ Book Callback ¦ Compliance Help ¦ Adviser Shop ¦ News Lobbying
