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Showing 151 to 160 of 240 search results for This Final Notice refers to breaches of APER 1 and FIT.
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Final Notice 2020: Mark Horsey [pdf]
This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement. -
Final Notice 2020: Jason Taylor [pdf]
This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Anthony Verrier [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition. -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Final Notice 2015: Stephen Allen [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition. -
FCA Final Notice 2013: Michael Conway [pdf]
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. -
FCA Final Notice 2014: Abdul Razzaq [pdf]
This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition. -
Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.