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Showing 81 to 90 of 111 search results for final notice refers to breaches of APER 1 and APER 6 related.
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Final Notice 2018: John Lawrence Radford [pdf]
This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final Notice 2018: Darren Colvin Cummings [pdf]
This FCA final notice (Darren Colvin Cummings) refers to breaches of APER 1 and FIT relating to a lack of fitness and/propriety in the general insurance and mediation sector. We imposed a fine and prohibition. -
Decision Notice 2018: John Lawrence Radford [pdf]
This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed. -
FCA Decision Notice 2015: Mark John Owen [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a -
FCA Decision Notice 2015: Peter Francis Johnson [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a -
Decision Notice 2021: Geoffrey Edward Armin [pdf]
This decision notice (Geoffrey Edward Armin) refers to breaches of APER 2, APER 7, FIT and COBS related to failing to demonstrate that suitable advice was given in the investment adviser and pensions sector. Our view is that a financial penalty and -
Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]
This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure. -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
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.