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Showing 21 to 30 of 238 search results for final notice refers to breaches of APER 1 and FIT.

  1. FCA Final Notice 2014: Daniel James Plunkett [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

  2. Final notice 2016: Terence Andrew Joint [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

  3. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  4. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    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

  5. Final notice 2016: Peter Francis Johnson [pdf]

    Final notices Published: 19/05/2016 Last modified: 19/05/2016
    This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

  6. Final Notice 2018: Darren Colvin Cummings [pdf]

    Final notices Published: 08/06/2018
    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.

  7. Final Notice 2022: Andrew Mark Thomas Page [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Andrew Mark Thomas Page) 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

  8. Final Notice 2022: William Mark Tristan Freer [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (William Mark Tristan Freer) 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

  9. Further Final Notice 2020: Robert Ian Shaw [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

  10. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and
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