2021 fines

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.