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Showing 1 to 10 of 133 search results for final notice refers to breaches of APER 7 related to unfair.

1. 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.

2. Final Notice 2015: Andrew Peter Wilkins [pdf]

   Final notices Published: 27/10/2015 Last modified: 27/10/2015
   This Final Notice refers to breaches of APER 6 related to unfair treatment of customers in the Investment Advisor sector. We imposed a fine.

3. FCA Final Notice 2014: Peter Halpin [pdf]

   Final notices Published: 05/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition

4. FCA Final Notice 2014: Andrew Charles Rees [pdf]

   Final notices Published: 17/04/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

5. FCA Final Notice 2014: Timothy Adrian Hughes [pdf]

   Final notices Published: 17/04/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

6. FCA Final Notice 2014: Peter Thomas Carron [pdf]

   Final notices Published: 16/09/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

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. FCA Final Notice 2014: Anthony Clare [pdf]

   Final notices Published: 05/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

9. 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.

10. 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