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Aug 9, 2017 · On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions.
- Regulation
In a press release, the regulator explained that the FMIs,...
- Regulation
Aug 9, 2017 · On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions.
The Upper Tribunal has upheld the FCA's decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited, as well as impose a financial penalty of £86,691.
Aug 11, 2017 · Charles Palmer (“Mr Palmer”) was the CEO and majority shareholder of Standard Financial Group Limited and a director/de facto CEO of the adviser network which comprised of Financial Limited and Investments Limited (“Firms”).
Aug 11, 2017 · Charles Palmer (“ Mr Palmer ”) was the CEO and majority shareholder of Standard Financial Group Limited and a director/de facto CEO of the adviser network which comprised of Financial Limited...
On 24 February 2010, the Authority published a Final Notice in relation to Mr Palmer and imposed on him a financial penalty for breaching Statements of Principle 5 and 7 in performing the significant influence functions of CF1 (Director) and CF8 (Apportionment and Oversight) between 6 April 2006 and 19 August 2008.
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The FSA gave you, Charles Palmer (“Mr Palmer”), a Decision Notice (“the Decision Notice”) which stated that it had decided to impose a financial penalty of £49,000 in respect of breaches of Statements of Principle 5 and 7 of the FSA’s Statements of Principle and Code of Practice for Approved Persons (“APER”) between 6 April 2006 ...
