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Showing 51 to 60 of 238 search results for final notice refers to breaches of APER 1 and FIT.

51. Decision Notice: Andrew Page (Director of FPL) [pdf]

    Decision notices Published: 09/05/2018
    This decision notice (Andrew Page (Director of FPL)) 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

52. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Tristan Freer (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

53. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

54. Final Notice 2023: Simon Richard Hughes [pdf]

    Final notices Published: 03/10/2023
    This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

55. FCA Final Notice 2014: David Gillespie [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

56. FCA Final Notice 2013: Douglas Jones [pdf]

    Final notices Published: 29/04/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 and APER 1 related to lack of fitness/propriety in the mortgage and consumer credit sector. We imposed a full prohibition and £13,300 financial penalty, after discount.

57. Final Notice 2015: Robin Farrell [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

58. Final Notice 2015: Robert Stephan Addison [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

59. Final Notice 2015: Sam Thomas Kenny [pdf]

    Final notices Published: 13/03/2015 Last modified: 13/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

60. Final notice 2016: Amir Khan [pdf]

    Final notices Published: 26/08/2016 Last modified: 26/08/2016
    This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure.