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Showing 111 to 114 of 114 search results for final notice refers to breaches of APER 1 and APER.

111. Decision Notice 2021: Markos Theodosi Markou [pdf]

     Decision notices Published: 28/07/2021
     This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

112. FCA decision notice 2015: Charles Palmer [pdf]

     Decision notices Published: 11/12/2015 Last modified: 11/12/2015
     This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

113. Decision Notice: Stuart Malcolm Forsyth [pdf]

     Decision notices Published: 18/11/2019
     This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.

114. Information on enforcement investigations opened against individuals (SMR) - May 2022

     FOI Release Date of Release: 11/05/2022
     The FCA provides data on enforcement investigations opened against individuals (SMR).