On 3 April 2023, we imposed a number of conditions on the approval of Mrs Lisa Campbell as a senior manager of Campbell & Associates Independent Financial Advice Limited.
Update 31 August 2023: The conditions in the 2 First Supervisory Notices linked to below will remain in force unless and until they are varied or cancelled by the FCA (either on the application of the firm, Mrs Campbell or of the FCA’s own volition).
Any changes to these conditions will be reflected on the Financial Services Register[1]. Mrs Campbell is not permitted to contact any of the firm’s current or former customers, except where they are also family members.
These conditions prevent Mrs Campbell from performing any activity for which she has approval, without the FCA’s written consent.
We have taken this action because of concerns that Mrs Campbell has not complied with restrictions imposed on the firm on 9 February 2023 or adhered to the terms of the firm’s First Supervisory Notice published on 10 February 2023[2].
Mrs Lisa Campbell has the right to make written or oral representations to us on the First Supervisory Notice published on 4 April 2023[3]. She also has the right to make a reference to the Upper Tribunal.
A full description of the restrictions on Mrs Lisa Campbell can be found on the Financial Services Register[1].