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Showing 1 to 10 of 110 search results for final notice refers to breaches of APER 1 and APER 7 related.

1. 2022 fines

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

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. Final notice 2016: Timothy Alan Roberts [pdf]

   Final notices Published: 08/04/2016 Last modified: 11/04/2016
   This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition.

9. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

   Final notices Published: 07/08/2015 Last modified: 07/08/2015
   This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

10. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.