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Showing 41 to 50 of 113 search results for This final notice refers to breaches of APER 1 and APER.

41. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) 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. We imposed a prohibition and financial

42. 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.

43. 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.

44. 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.

45. 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.

46. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

47. Final Notice 2024: Arthur Jonathan Cobill [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been

48. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

49. 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.

50. Final Notice 2018: Alexander David Osborne Stuart [pdf]

    Final notices Published: 26/03/2018
    This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.