RegActions records a disclosed FCA monetary penalty of £10,000 dated 5 Oct 2017 for Clive John Rosier.
Case facts
| Firm or individual | Clive John Rosier |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 5 Oct 2017 |
| Penalty | £10,000 |
| RegActions breach classification | MIS_SELLING |
| Public case ID | b3ab2a9f-1da5-4900-b8b5-8ed86395e20e |
Case summary
For breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and prohibition.
Official evidence
This page meets the public case-page evidence threshold.
Continue your research
- Search the complete FCA fines database
- View FCA actions from 2017
- Compare enforcement actions in 2017
- Read the enforcement data methodology
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.