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Showing 111 to 120 of 1297 search results for Final Notice refers to breaches of APER.

111. 2020 fines

     News stories Published: 21/01/2020 Last modified: 02/12/2022
     This page contains information about enforcement fines published during the calendar year ending 2020.

112. 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

113. 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.

114. 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

115. 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.

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 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

118. Final Notice 2020: Peter Howson [pdf]

     Final notices Published: 12/10/2020 Last modified: 12/10/2020
     This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

119. Final Notice 2022: Stuart Rea [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

120. Final Notice 2020: Barclays [pdf]

     Final notices Published: 15/12/2020
     This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.