FCA has published its decision notice proposing a public censure and ban on Andrew Tinney, former COO of Barclays Wealth and Investment Management. FCA found Mr Tinney had taken steps to conceal the content and existence of a report commissioned on Barclays Wealth America’s Culture Audit following the SEC identifying regulatory deficiencies. FCA considered his actions may have hindered the attempts of the firm’s Board to understand the deficiencies, and risked its efforts to address the failings being delayed or frustrated. Worse, the review happened in the aftermath of the LIBOR settlement. Mr Tinney has appealed the decision to the Tribunal.
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