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Showing 1 to 10 of 1088 search results for final notice refers to breaches of APER 6 related.

1. 2023 fines

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

2. 2022 fines

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

3. FCA Final Notice 2013: John Douglas Leslie [pdf]

   Final notices Published: 26/07/2013 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

4. FCA Final Notice 2013: Derek Jones [pdf]

   Final notices Published: 29/04/2013 Last modified: 19/05/2015
   This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

5. FCA Final Notice 2014: David Welsby [pdf]

   Final notices Published: 09/10/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

6. FCA Final Notice 2014: Nick Bowyer [pdf]

   Final notices Published: 05/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

7. Final Notice 2023: Keith Dickinson [pdf]

   Final notices Published: 13/09/2023
   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 partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

8. FCA Final Notice 2013: Christopher Willford [pdf]

   Final notices Published: 12/12/2013 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

9. Final Notice 2017: David Samuel Watters [pdf]

   Final notices Published: 14/07/2017
   This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

10. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

    Final notices Published: 12/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.