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Showing 31 to 40 of 111 search results for final notice refers to breaches of APER 1 and APER 7 related.
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Final Notice 2015: Mothahir Miah [pdf]
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. -
FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]
This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine. -
FCA Final Notice 2014: Nick Bowyer [pdf]
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. -
Final Notice 2015: David Caplin [pdf]
This final notice refers to breaches of 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. -
Final Notice 2016: Tariq Carrimjee [pdf]
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. -
Final Notice 2022: Robert Ward [pdf]
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 -
FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]
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. -
Final Notice 2015: Alberto Micalizzi [pdf]
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. -
Final Notice 2022: Timothy Haywood [pdf]
The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Final Notice 2019: Stewart Owen Ford [pdf]
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