On 3 April 2023, the FCA imposed a number of conditions on its approval of Lisa Campbell as a senior manager of Campbell & Associates Independent Financial Advice Limited. These prevent her from performing any approved activity without the FCA’s written consent.
The FCA said it had taken this action because of concerns that Campbell had not complied with restrictions imposed on her firm on 9 February 2023 or adhered to the terms of a First Supervisory Notice published on 10 February 2023.
Campbell has the right to make written or oral representations to the FCA or to refer the matter to the Upper Tribunal.
A full description of the restrictions imposed on Campbell by the FCA can be found on the Financial Services Register.
Links: https://www.fca.org.uk/news/statements/criminal-market-abuse-regime-review-completion