Search results

Showing 1 to 10 of 1089 search results for Final Notice refers to breaches of APER 1 and 7 related.

1. 2022 fines

   News stories Published: 28/02/2022 Last modified: 04/01/2023
   Enforcement fines published in 2022.

2. FCA Final Notice 2013: John Douglas Leslie [pdf]

   Final notices Published: 26/07/2013 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

3. FCA Final Notice 2013: Derek Jones [pdf]

   Final notices Published: 29/04/2013 Last modified: 19/05/2015
   This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

4. Final Notice 2015: Kevin Allen [pdf]

   Final notices Published: 09/06/2015 Last modified: 09/06/2015
   This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

5. Final Notice 2021: Omar Hussein [pdf]

   Final notices Published: 15/10/2021
   This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition.

6. FCA Final Notice 2014: David Welsby [pdf]

   Final notices Published: 09/10/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

7. Final Notice 2017: David Samuel Watters [pdf]

   Final notices Published: 14/07/2017
   This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

8. FCA Final Notice 2013: Mark Bentley-Leek [pdf]

   Final notices Published: 18/10/2013 Last modified: 07/04/2015
   This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

9. FCA Final Notice 2013: Christopher Willford [pdf]

   Final notices Published: 12/12/2013 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

10. 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.