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Volume 5, Issue 1
1 January 1997
Journal of Financial Regulation and Compliance Cover Image for Volume 5, Issue 1
Review Article| January 01 1997

Disciplinary Action Available to Purchase

Joanna Gray
Joanna Gray
Editorial Board
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Author & Article Information
Publisher: Emerald Publishing
Online ISSN: 1740-0279
Print ISSN: 1358-1988
© MCB UP Limited
1997
Journal of Financial Regulation and Compliance (1997) 5 (1): 92–93.
https://doi.org/10.1108/eb024914

i) On 12 July 1996, SFA issued Board Notice 345 containing details of its disciplinary action against John Edmund Odell and Branston & Gothard Ltd. SFA commenced disciplinary proceedings against Mr. Odell and B & G Ltd in February 1995. Mr Odell was working for B & G Ltd. from home on a self‐employed half commission basis. He caused B & G Ltd to be in breach of SFA Conduct of Business rules relating to discretionary management of a client's assets including rules on over‐frequent dealing, suitability, periodic reporting.

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© MCB UP Limited
1997
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