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Showing 171 to 180 of 243 search results for Final Notice refers to breaches of APER 7 and FIT.

171. Final Notice 2016: Scott Michael Crawley [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

172. Final Notice 2017: Damian Frank Clarke [pdf]

     Final notices Published: 01/06/2017
     This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

173. 2020 fines

     News stories Published: 21/01/2020 Last modified: 02/12/2022
     This page contains information about enforcement fines published during the calendar year ending 2020.

174. Final Notice 2023: Ray Alan Davis [pdf]

     Final notices Published: 15/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

175. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

     Final notices Published: 15/12/2014 Last modified: 15/12/2014
     This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

176. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

     Final notices Published: 12/12/2014 Last modified: 12/12/2014
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

177. FCA Final Notice 2014: Leanne Marie Nicholson [pdf]

     Final notices Published: 12/12/2014 Last modified: 12/12/2014
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

178. Final Notice 2018: Jonathan Mathew [pdf]

     Final notices Published: 02/11/2018
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

179. Final notice 2016: Peter Charles Bottomley [pdf]

     Final notices Published: 08/03/2016 Last modified: 08/03/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

180. Final Notice 2019: Guiseppe Oliverio [pdf]

     Final notices Published: 28/08/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.