Search results
Showing 81 to 90 of 113 search results for final notice refers to breaches of APER 1 and APER.
-
Final Notice 2019: Andrew James Tinney [pdf]
This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure. -
Final Notice 2015: Paivi Grigg [pdf]
This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine. -
Final notice 2016: Elizabeth Anne Parry [pdf]
This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
FCA Final Notice 2014: Peter Thomas Carron [pdf]
This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2015: Steven Martin [pdf]
This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
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