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Showing 81 to 90 of 1089 search results for final notice refers to breaches of APER 6 related.
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Final Notice 2018: John Lawrence Radford [pdf]
This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]
This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure. -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final Notice 2018: Darren Colvin Cummings [pdf]
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. -
Decision Notice 2022: C [pdf]
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. -
Decision Notice 2022: B [pdf]
This Decision Notice refers to breaches of APER 1 and FIT 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. -
Final Notice 2015: Craig McNeil [pdf]
This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition. -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2021: Simon John Varley [pdf]
This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition. -
Final Notice 2018: Angela Burns [pdf]
This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.