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  1. 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

  2. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  3. FOI4297 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  4. Final notice 2016: Coverall Worldwide Ltd [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general

  5. Final notice 2016: Andrea Christine Sadler [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

  6. Final notice 2016: Wayne Anthony Redgrave [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  7. Final notice 2016: Robert John Bygrave [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and

  8. FOI4202 information provided annex A [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  9. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

    Final notices

    Published: 01/02/2016

    Last modified: 01/02/2016

    This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

  10. FOI4306 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

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