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Showing 161 to 170 of 206 search results for Final Notice refers to breaches of APER 7 and FIT related.

  1. Final Notice 2024: Nicholas Andrew McNeil [pdf]

    Final notices Published: 08/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. FCA Final Notice 2013: Kevin Peter Wells [pdf]

    Final notices Published: 18/04/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

  3. Final Notice 2015: Steven Martin [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

  4. Final Notice 2018: David James Carter Mullins [pdf]

    Final notices Published: 25/07/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

  5. FCA Final Notice 2014: John Christopher Hughes [pdf]

    Final notices Published: 29/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

  6. Final Notice 2019: Freddy David [pdf]

    Final notices Published: 15/05/2019
    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  7. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  8. Final Notice 2015: Christopher David Peacher [pdf]

    Final notices Published: 01/07/2015 Last modified: 01/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the consumer credit and investment advisor sectors. We imposed a cancellation and a prohibition.

  9. Final Notice 2018: Guillaume Adolph [pdf]

    Final notices Published: 05/03/2018
    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 a prohibition.

  10. Final Notice 2020: Paul Michael Grant [pdf]

    Final notices Published: 12/02/2020
    This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.