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Showing 151 to 160 of 243 search results for Final Notice refers to breaches of APER 7 and FIT.
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FCA Final Notice 2014: Abdul Razzaq [pdf]
This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition. -
Final Notice 2019: Mark Dobson [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition. -
Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: Alan Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2024: Clive Harris Mongelard [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” -
Final Notice 2020: Mark Horsey [pdf]
This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement. -
Final Notice 2022: Kreis Financial Ltd [pdf]
This final notice (Kreis Financial Ltd) refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval. -
Final Notice 2020: Jason Taylor [pdf]
This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.