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Showing 71 to 80 of 1340 search results for Final Notice refers to breaches of FIT.

71. 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.

72. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

    Final notices Published: 07/08/2015 Last modified: 07/08/2015
    This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

73. FCA Final Notice 2014: Arnold Gary Eber [pdf]

    Final notices Published: 27/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

74. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

75. 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.

76. Final Notice 2019: Giovanni Joseph 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.

77. Final Notice 2017: Richard Telfryn Jones [pdf]

    Final notices Published: 16/11/2017
    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.

78. Final Notice 2020: Corrado Abbattista [pdf]

    Final notices Published: 15/12/2020
    This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

79. FCA Final Notice 2013: Daniel Christopher Conway [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.

80. Final notice 2017: Graham Patrick Lockstone [pdf]

    Final notices Published: 15/12/2017
    This final notice refers to breaches of FIT related to a lack of fitness and/propriety in the general insurance and protection sector. We imposed a prohibition.