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Showing 1 to 10 of 113 search results for final notice refers to breaches of APER 1 and APER.

1. 2022 fines

   News stories Published: 28/02/2022 Last modified: 04/01/2023
   Enforcement fines published in 2022.

2. Final notice 2016: Colin J McIntosh [pdf]

   Final notices Published: 01/02/2016 Last modified: 01/02/2016
   This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

3. 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.

4. 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.

5. 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.

6. 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.

7. Final Notice 2015: Robert Stephan Addison [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.

8. Final Notice 2015: Sam Thomas Kenny [pdf]

   Final notices Published: 13/03/2015 Last modified: 13/03/2015
   This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

9. Final notice 2016: Amir Khan [pdf]

   Final notices Published: 26/08/2016 Last modified: 26/08/2016
   This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure.

10. Final notice 2016: Terence Andrew Joint [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.