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Showing 111 to 120 of 1305 search results for Final Notice refers to breaches of APER.

111. Decision Notice 2021: Markos Theodosi Markou [pdf]

     Decision notices Published: 28/07/2021
     This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

112. 2020 fines

     News stories Published: 21/01/2020 Last modified: 02/12/2022
     This page contains information about enforcement fines published during the calendar year ending 2020.

113. FCA decision notice 2015: Charles Palmer [pdf]

     Decision notices Published: 11/12/2015 Last modified: 11/12/2015
     This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

114. 2024 fines

     News stories Published: 25/03/2024 Last modified: 25/06/2024
     Enforcement fines published in 2024.

115. Decision Notice: Stuart Malcolm Forsyth [pdf]

     Decision notices Published: 18/11/2019
     This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.

116. Final notice 2016: Alan Whittington [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open

117. Final Notice 2024: Graham Lilley T/A Global Car Leasing [pdf]

     Final notices Published: 12/06/2024
     This Final Notice refers to breaches of FIT and COND related to a lack of fitness/propriety and breach of COND in the consumer credit sector. We imposed a prohibition and a cancellation of Part 4A permissions.

118. Final Notice 2017: Tesco plc [pdf]

     Final notices Published: 28/03/2017
     This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

119. Final Notice 2024: Kulvir Virk [pdf]

     Final notices Published: 24/06/2024
     This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order.

120. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

     Final notices Published: 17/12/2013 Last modified: 08/06/2020
     This final notice refers to breaches of FIT related to