Fine

Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited Fined £8,246,800.00 by the Financial Conduct Authority

Reason: Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for BusinesseDate: 05/10/2016Amount: 8246800.00Link: https://www.fca.org.uk/publication/final-notices/aviva-pension-trustees-uk-limited-aviva-wrap-uk-limited.pdf

Read More »

Tariq Carrimjee Fined £89,004 by the Financial Conduct Authority

Reason: for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved PersonsDate: 28/11/2016Amount: 89004.00Link: https://www.fca.org.uk/publication/final-notices/tariq-carrimjee-2016.pdf

Read More »