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Showing 11 to 20 of 1089 search results for Final Notice refers to breaches of APER 1 and 7 related.

11. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.

12. Final Notice 2015: Michael John Allin [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

13. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

14. FCA Final Notice 2014: Nick Bowyer [pdf]

    Final notices Published: 05/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

15. FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]

    Final notices Published: 06/08/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine.

16. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

    Final notices Published: 12/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

17. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

18. Final Notice 2016: Tariq Carrimjee [pdf]

    Final notices Published: 28/11/2016
    This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

19. Final Notice 2015: Alberto Micalizzi [pdf]

    Final notices Published: 19/03/2015 Last modified: 19/03/2015
    This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

20. Final Notice 2022: Timothy Haywood [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.