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Showing 71 to 80 of 133 search results for final notice refers to breaches of APER 7 related to unfair.
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Final Notice 2023: Mark Antony Abley [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition. -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2015: Anthony Rendell Boyd Wills [pdf]
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine. -
Final Notice 2023: Andrew John Allen [pdf]
This Final Notice refers to breaches of APER 6 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £85,606 is being made to the FSCS -
Final Notice 2022: Andrew Mark Thomas Page [pdf]
This Final Notice (Andrew Mark Thomas Page) 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. We imposed a prohibition and -
Final Notice 2015: Peter Charles Legerton [pdf]
This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition. -
Final Notice 2022: William Mark Tristan Freer [pdf]
This Final Notice (William Mark Tristan Freer) 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. We imposed a prohibition -
Further Final Notice 2020: Robert Ian Shaw [pdf]
This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Final Notice 2018: Alistair Rae Burns [pdf]
This Final 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. We imposed a fine and a prohibition. -
Further Final Notice 2020: Lloyd Arnold Pope [pdf]
This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and