RegActions records a disclosed FCA monetary penalty of £34,000 dated 26 Mar 2018 for Alexander David Osborne Stuart.
Case facts
| Firm or individual | Alexander David Osborne Stuart |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 26 Mar 2018 |
| Penalty | £34,000 |
| RegActions breach classification | INVESTMENT |
| Public case ID | 67f2ffd9-23c1-455b-a8bb-b3a1d41a7436 |
Case summary
For breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine 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 2018
- Compare enforcement actions in 2018
- 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.