FCA fines / 2014 / David Welsby
David Welsby FCA fine
RegActions records a disclosed FCA monetary penalty of £14,000 dated 9 Oct 2014 for David Welsby.
Case facts
| Firm or individual | David Welsby |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 9 Oct 2014 |
| Penalty | £14,000 |
| RegActions breach classification | CLIENT_MONEY |
| Public case ID | dc026108-02dd-451b-8686-da2d72519daf |
Case summary
For serious failings in relation to the protection of client money.
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.