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Showing 111 to 120 of 1093 search results for Final Notice refers to breaches of APER 7 related.

111. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

     Decision notices Published: 09/05/2019
     This decision notice (Tristan Freer (Director of BHIM)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

112. Final Notice 2024: James William Edward Lewis [pdf]

     Final notices Published: 07/05/2024
     This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order.

113. FCA decision notice 2015: Charles Palmer [pdf]

     Decision notices Published: 11/12/2015 Last modified: 11/12/2015
     This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

114. Decision Notice: Stuart Malcolm Forsyth [pdf]

     Decision notices Published: 18/11/2019
     This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.

115. Final notice 2016: Alan Whittington [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open

116. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

     Final notices Published: 17/12/2013 Last modified: 08/06/2020
     This final notice refers to breaches of FIT related to

117. Final Notice 2017: Tesco plc [pdf]

     Final notices Published: 28/03/2017
     This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

118. Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]

     Final notices Published: 21/11/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative

119. Final Notice 2017: Keep Sheffield Warm [pdf]

     Final notices Published: 06/10/2017
     This final notice refers to breaches of PRIN 11 related to failing to be

120. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the