24 NOV 2017
Clifford Dann Management Limited
Disciplinary Panel hearing – 8 & 9 November 2017
The Panel heard a case against the Firm Clifford Dann Management Limited for failure to preserve the security of clients’ money entrusted to its care in the course of its business, by withdrawing the sum of £10,622.77 from a Client Account on or around 27 April 2015, contrary to Rule 8 of the Rules of Conduct for Firms 2007.
The Panel found charges 1(a) and 1(b) proved as a fact and charge 1(c) proved as a fact on a limited basis. It did not find the Firm liable to disciplinary action.