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Showing 81 to 90 of 133 search results for final notice refers to breaches of APER 7 related to unfair.

  1. Final Notice 2019: Andrew James Tinney [pdf]

    Final notices Published: 16/08/2019 Last modified: 06/08/2020
    This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure.

  2. Final Notice 2017: Mrs Colette Chiesa [pdf]

    Final notices Published: 12/10/2017
    This final notice refers to breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine.

  3. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  4. FCA Final Notice 2014: State Street [pdf]

    Final notices Published: 31/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

  5. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

  6. FCA Final Notice 2013: Alison Moran [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.

  7. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

  8. Final Notice 2022: TFS Loans Ltd (in administration) [pdf]

    Final notices Published: 10/06/2022
    This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS

  9. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

    Final notices Published: 24/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  10. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.