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Showing 111 to 113 of 113 search results for This final notice refers to breaches of APER 1 and APER.

  1. 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

  2. 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.

  3. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).