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Showing 31 to 40 of 1305 search results for Final Notice refers to breaches of APER.

31. Final Notice 2015: Michael John Allin [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

32. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

33. Final Notice 2023: Mr Paul Steel [pdf]

    Final notices Published: 04/07/2023
    This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

34. 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

35. FCA Final Notice 2013: Mustafa Dervish [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

36. Final Notice 2016: Tariq Carrimjee [pdf]

    Final notices Published: 28/11/2016
    This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

37. Final Notice 2022: Timothy Haywood [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

38. Final Notice 2015: Paul Reynolds [pdf]

    Final notices Published: 20/05/2015 Last modified: 20/05/2015
    This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

39. Final Notice 2015: Alberto Micalizzi [pdf]

    Final notices Published: 19/03/2015 Last modified: 19/03/2015
    This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

40. Final Notice: Steven Smith [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition.