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Showing 111 to 120 of 243 search results for Final Notice refers to breaches of APER 7 and FIT.

111. Final Notice 2023: Mark Anthony Jensen [pdf]

     Final notices Published: 13/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

112. Final Notice 2020: Simon Charles Oakley [pdf]

     Final notices Published: 21/09/2020 Last modified: 21/09/2020
     This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

113. Final Notice 2021: Colin Bermingham [pdf]

     Final notices Published: 01/11/2021
     This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

114. Final Notice 2022: Andrew Roy Brooke [pdf]

     Final notices Published: 06/04/2022
     This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

115. Final Notice 2017: Adrian Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety

116. Final Notice 2020: John Butterfield [pdf]

     Final notices Published: 12/10/2020 Last modified: 12/10/2020
     This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

117. Final Notice 2017: Christine Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of

118. FCA Final Notice 2014: Peter Thomas Carron [pdf]

     Final notices Published: 16/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

119. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

120. Final Notice 2022: Michael Mendonca Nascimento [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition.