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Showing 41 to 50 of 238 search results for final notice refers to breaches of APER 1 and FIT.

  1. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    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

  2. FCA Decision Notice 2015: Peter Francis Johnson [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    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

  3. Decision Notice 2021: Geoffrey Edward Armin [pdf]

    Decision notices Published: 09/08/2021
    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

  4. Decision Notice 2023: Darren Antony Reynolds [pdf]

    Decision notices Published: 28/09/2023
    This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

  5. Decision Notice 2022: C [pdf]

    Decision notices Published: 30/11/2022
    This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed.

  6. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and

  7. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  8. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) 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. Our view is that a

  9. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Aiden Henderson (Director of HCA)) 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. Our view is that

  10. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    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.
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