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Showing 221 to 230 of 243 search results for Final Notice refers to breaches of APER 7 and FIT.

221. Final Notice 2019: Samrat Deep Bhandari [pdf]

     Final notices Published: 05/04/2019
     This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order.

222. Final Notice 2017: Mr John Chiesa [pdf]

     Final notices Published: 12/10/2017
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

223. Final notice 2016: Peter Charles Johnson [pdf]

     Final notices Published: 31/08/2016 Last modified: 31/08/2016
     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.

224. Final Notice 2015: Lee Bruce Stewart [pdf]

     Final notices Published: 30/07/2015 Last modified: 30/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

225. Final Notice 2018: Neil Danziger [pdf]

     Final notices Published: 08/01/2018
     This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

226. Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]

     Final notices Published: 17/09/2021
     This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

227. Final notice 2016: Mr Kevin Clarke [pdf]

     Final notices Published: 21/06/2016 Last modified: 21/06/2016
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

228. Final Notice 2022: Luke Andrew Durrant [pdf]

     Final notices Published: 22/09/2022
     The Final Notice refers to breaches of FIT related to lack of fitness and proprietary in the General Insurance and Pensions sector. We imposed a prohibition.

229. Final Notice 2022: Carlo Palombo [pdf]

     Final notices Published: 28/11/2022
     This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity.

230. Final Notice 2018: Terence Sefton Potter [pdf]

     Final notices Published: 29/05/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.