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Showing 131 to 140 of 240 search results for This Final Notice refers to breaches of APER 7 and FIT.

  1. Final Notice: Kathryn Clark [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

  2. Final Notice 2024: Paul Ulliott [pdf]

    Final notices Published: 15/01/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

  4. Final Notice 2024: Robert Harriss [pdf]

    Final notices Published: 24/05/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

  5. Final Notice 2021: Servicesport Finance Limited [pdf]

    Final notices Published: 10/11/2021
    This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

  6. Final Notice 2018: Darren Lee Newton [pdf]

    Final notices Published: 20/12/2018
    This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  7. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

    Final notices Published: 16/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  8. Final Notice 2022: Paul Seakens [pdf]

    Final notices Published: 14/01/2022
    This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

  9. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

    Final notices Published: 09/12/2020 Last modified: 09/12/2020
    This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

  10. Final Notice 2019: David John 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.