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Showing 1 to 10 of 1287 search results for This Final Notice refers to breaches of APER.
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2022 fines
Enforcement fines published in 2022. -
FCA Final Notice 2013: John Douglas Leslie [pdf]
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. -
Final notice 2016: Colin J McIntosh [pdf]
This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair -
Final notice 2015: Vroni O'Brien [pdf]
This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and -
Final Notice 2015: Jeremy Kraft [pdf]
This final notice refers to breaches of APER 6, 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. -
FCA Final Notice 2014: David Gillespie [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
FCA Final Notice 2013: Douglas Jones [pdf]
This final notice refers to breaches of APER 6 and APER 1 related to lack of fitness/propriety in the mortgage and consumer credit sector. We imposed a full prohibition and £13,300 financial penalty, after discount. -
Final Notice 2015: Robin Farrell [pdf]
This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition. -
Final Notice 2015: Robert Stephan Addison [pdf]
This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition. -
Final Notice 2015: Sam Thomas Kenny [pdf]
This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.