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FCA seeks £80m 'death bond' fines | FCA seeks £80m 'death bond' fines |
(34 minutes later) | |
Three men are facing fines of nearly £80m from the City regulator for misleading investors into buying so-called "death bonds", linked to life insurance policies. | |
One of them - Stewart Ford - has been given a fine of £75m, the largest such penalty ever imposed on an individual. | One of them - Stewart Ford - has been given a fine of £75m, the largest such penalty ever imposed on an individual. |
The Financial Conduct Authority (FCA) said the way the bonds were sold - by a company called Keydata - was "unclear, incorrect and misleading". | The Financial Conduct Authority (FCA) said the way the bonds were sold - by a company called Keydata - was "unclear, incorrect and misleading". |
Some 37,000 people bought the bonds. | Some 37,000 people bought the bonds. |
Mr Ford has pledged to fight the ruling in the High Court, and said he would file a claim for damages. | |
Investors, who bought the investments between 2005 and 2009, were incorrectly told that they were eligible for Isas. | Investors, who bought the investments between 2005 and 2009, were incorrectly told that they were eligible for Isas. |
Between them, those investors lost at least £330m, the value of the bonds involved. They are currently being refunded by the Financial Services Compensation Scheme (FSCS). | Between them, those investors lost at least £330m, the value of the bonds involved. They are currently being refunded by the Financial Services Compensation Scheme (FSCS). |
By buying the bonds, purchasers were investing in second-hand life insurance policies, which would pay out when the original owner died. | |
The policies were originally sold by citizens in the United States, who are allowed to cash them in. | |
But the FCA said the bonds were not suitable for ordinary private investors, because of the risk involved. | But the FCA said the bonds were not suitable for ordinary private investors, because of the risk involved. |
Tribunal | Tribunal |
The FCA said the three men had also misled the previous City regulator, the Financial Services Authority (FSA), in relation to the performance of the investments. | The FCA said the three men had also misled the previous City regulator, the Financial Services Authority (FSA), in relation to the performance of the investments. |
Stewart Ford was the former chief executive of Keydata, which was dissolved in 2014. | Stewart Ford was the former chief executive of Keydata, which was dissolved in 2014. |
The FCA said he had received £72.4m in fees and commissions on sales. | The FCA said he had received £72.4m in fees and commissions on sales. |
However, Mr Ford said he would contest the fine in the High Court. | |
He claimed that the FSA had exceeded its powers when it decided to close Keydata down. | |
He is now filing a £650m claim for damages against the FCA and the auditors, PricewaterhouseCoopers. | |
"The past six years have been a nightmare for myself, my family and the former employees of Keydata," said Mr Ford. | |
"We were tossed aside by a regulator who was hell-bent on destroying a successful and well-run business in order to justify its continued existence." | |
Mark Owen, the former sales director, was fined £4m. He received commissions worth £2.5m. | Mark Owen, the former sales director, was fined £4m. He received commissions worth £2.5m. |
Peter Johnson, the former compliance officer, was fined £200,000. | Peter Johnson, the former compliance officer, was fined £200,000. |
All three have been banned from working in financial services ever again. | All three have been banned from working in financial services ever again. |
The men have appealed against their fines, and their case will be heard at a tribunal. | The men have appealed against their fines, and their case will be heard at a tribunal. |