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Showing 181 to 190 of 1340 search results for Final Notice refers to breaches of FIT.

181. Final Notice 2015: Phillip Harold Boakes [pdf]

     Final notices Published: 24/11/2015 Last modified: 24/11/2015
     The case concerns breaches of FIT related to a lack of fitness/propriety in the investment adviser sector . We imposed a prohibition.

182. FCA Decision Notice 2016: Andrew Barry Hart [pdf]

     Decision notices Published: 14/07/2016 Last modified: 14/07/2016
     This decision notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We have decided to impose a prohibition.

183. Decision Notice 2018: Darren Lee Newton [pdf]

     Decision notices Published: 21/05/2018
     This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.

184. Decision Notice 2022: C [pdf]

     Decision notices Published: 30/11/2022
     This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed.

185. FCA Decision Notice 2016: Andrew Tinney [pdf]

     Decision notices Published: 14/09/2016 Last modified: 16/08/2019
     This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and

186. Decision Notice 2020: Jon Frensham [pdf]

     Decision notices Published: 29/03/2021
     This provisional Decision Notice refers to what the FCA considers to be breaches of FIT by a financial adviser. This Decision Notice has been referred to the Upper Tribunal and will have no effect pending the determination of the case by the Tribunal

187. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

     Decision notices Published: 01/12/2016
     This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

188. 2023 fines

     News stories Published: 12/01/2023 Last modified: 04/04/2024
     Enforcement fines published in 2023.

189. Final Notice 2021: Advantage Hire Ltd [pdf]

     Final notices Published: 28/10/2021
     This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

190. FCA Decision Notice 2015: Mark John Owen [pdf]

     Decision notices Published: 26/05/2015 Last modified: 26/05/2015
     This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a