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FSA Authorisation with a criminal record
ncthree
Posts: 1 Newbie
I know there are a few IFA's on this board so I was hoping to get a bit of advice on my situation.
I am about to apply for FSA authorisation for the 1st time as a controlled person. The problem is that I have previous convictions although they are all spent. I have 2 cautions from my childhood, a drink driving charge in 1995 and a threatening behaviour charge in 2000. What do people think, am I wasting my time or is each case judged on its merits?
I am about to apply for FSA authorisation for the 1st time as a controlled person. The problem is that I have previous convictions although they are all spent. I have 2 cautions from my childhood, a drink driving charge in 1995 and a threatening behaviour charge in 2000. What do people think, am I wasting my time or is each case judged on its merits?
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Comments
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If there is any financial crime or fraud then its a waste of time. Drink driving wont be an issue. Threatening behaviour is one I dont know. Some networks may look at that more closely. Not sure the FSA will though on direct authorisation. It may depend on what control functions you are after.I am an Independent Financial Adviser (IFA). The comments I make are just my opinion and are for discussion purposes only. They are not financial advice and you should not treat them as such. If you feel an area discussed may be relevant to you, then please seek advice from an Independent Financial Adviser local to you.0
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Not a complete expert on authorisation laws but judging by your convictions, I would "guess" that you would be OK. May be wise when filling in "Form A" (if it's still called that) that you state exactly what you have with an honest explanation to pre-empt any questions they may have.I am an Independent Financial Adviser
Anything posted on this forum is for discussion purposes only. It should not be considered financial advice.0
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