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  1. 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

  2. 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.

  3. 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

  4. FOI4202 information provided annex A [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  5. 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.

  6. FOI4306 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  7. FOI4214 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  8. FOI4305 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  9. FOI4215 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

  10. FOI4274 response [pdf]

    FOI releases

    Published: 01/02/2016

    Last modified: 01/02/2016

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