FCA fines / 2014 / Chase de Vere Independent Financial Adviser Limited (Formerly AWD Chase de Vere Limited)
Chase de Vere Independent Financial Adviser Limited (Formerly AWD Chase de Vere Limited) FCA fine
RegActions records a disclosed FCA monetary penalty of £560,000 dated 17 Nov 2014 for Chase de Vere Independent Financial Adviser Limited (Formerly AWD Chase de Vere Limited).
Case facts
| Firm or individual | Chase de Vere Independent Financial Adviser Limited (Formerly AWD Chase de Vere Limited) |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 17 Nov 2014 |
| Penalty | £560,000 |
| RegActions breach classification | SYSTEMS_CONTROLS |
| Public case ID | ca6ba328-07f5-417d-965d-0f4c5a5517d9 |
Case summary
For breaches of Principles 3 and 7, SYSC 3.2.6R and Certain applicable rules set out in COB and COBS.
Official evidence
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Scope
This page describes one source-linked monetary record. RegActions excludes non-monetary outcomes and amounts awaiting review from FCA fine totals. The FCA publication remains the authoritative source.