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Showing 171 to 180 of 206 search results for Final Notice refers to breaches of APER 7 and FIT related.

  1. FCA Final Notice 2013: Andrew Joseph Powell [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

  2. Final Notice 2015: John Edward Duncan Field [pdf]

    Final notices Published: 15/07/2015 Last modified: 15/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

    Final notices Published: 29/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.

  4. Final Notice 2019: Alison Mary Mills [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

  5. Final notice: Andrew Barry Hart [pdf]

    Final notices Published: 13/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition.

  6. Final Notice 2018: Christopher Paul Brotherton [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.

  7. Final notice 2016: Mark Samuel Taylor [pdf]

    Final notices Published: 13/05/2016 Last modified: 13/05/2016
    This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and

  8. Final Notice 2019: Terry John Farr [pdf]

    Final notices Published: 29/05/2019
    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

  9. Final notice 2016: Geoffrey Harold Arthur Fincher [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.

  10. Final Notice 2019: Savatori 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.