Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 101 to 110 of 1090 search results for final notice refers to breaches of APER 6 related.

  1. Decision Notice 2023: David Brian Price [pdf]

    Decision notices Published: 01/09/2023
    This Decision Notice refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty, prohibition and withdrawal should be imposed

  2. 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

  3. 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

  4. 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

  5. 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

  6. 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

  7. Final Notice 2024: James William Edward Lewis [pdf]

    Final notices Published: 07/05/2024
    This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order.

  8. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

  9. Final notice 2016: Achilles Macris [pdf]

    Final notices Published: 09/02/2016 Last modified: 09/02/2016
    The case concerns breaches of APER 4 related to Mr Macris’ failure to deal with the Authority in an open and cooperative way. We also imposed a financial penalty on Mr Macris.

  10. 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
Related searches