This page contains information about enforcement fines published during the calendar year ending 2021. The total amount of fines so far is £52,500.
|Firm or individual fined||Date||Amount||Reasoning|
|Simon John Varley||15/04/2021||£68,300||This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition.|
|Adrian Horn||04/03/2021||£52,500||The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Fine and Prohibition.|