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Showing 21 to 30 of 133 search results for final notice refers to breaches of APER 7 related to unfair.

  1. 2021 fines

    News stories Published: 04/03/2021 Last modified: 17/12/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.

  2. FCA Decision Notice 2013: Clive John Rosier [pdf]

    Decision notices Published: 23/05/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of APER 2 and 7 related to unfair treatment of customers in relation to complaints-handling and lack of fitness/propriety in the investment advisors and platforms sector. Our view is that a fine, withdrawal

  3. Final Notice 2017: Clive John Rosier [pdf]

    Final notices Published: 05/10/2017
    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

  4. 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.

  5. 2023 fines

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

  6. 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

  7. 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.

  8. Final Notice 2015: Jeremy Kraft [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  9. 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.

  10. 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.