FCA/FSA final notice
Final Notices and fines are issued by the FCA (formally the FSA) for breaches of the FCA Principles of Business. This is also a breach of the Chartered Insurance Institute's (CII) Code of Ethics.
Where the Preliminary Screener (cases prior to May 2013), Case Examiner or Disciplinary Panel has decided to publish details of a disciplinary case ascribed (i.e. where an individual has been named), every care has been taken to identify members/students correctly. Please contact the CII if there is any doubt about the identity of a member/student who may have been the subject of disciplinary proceedings and in relation to whom a report has been published.
CII wishes to make clear that, unless the case reported indicates otherwise, allegations and findings against members/students do not implicate those members' or students' employers in any way.