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Showing 171 to 180 of 240 search results for This Final Notice refers to breaches of APER 7 and FIT.

  1. Final Notice 2018: Russell Taylor [pdf]

    Final notices Published: 14/11/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2017: Damian Frank Clarke [pdf]

    Final notices Published: 01/06/2017
    This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  3. Final Notice 2023: Ray Alan Davis [pdf]

    Final notices Published: 15/11/2023
    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.

  4. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

    Final notices Published: 15/12/2014 Last modified: 15/12/2014
    This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  5. FCA Final Notice 2014: Leanne Marie Nicholson [pdf]

    Final notices Published: 12/12/2014 Last modified: 12/12/2014
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

  6. Final notice 2016: Peter Charles Bottomley [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.

  7. Final Notice 2018: Jonathan Mathew [pdf]

    Final notices Published: 02/11/2018
    This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

  8. Final Notice 2019: Guiseppe 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.

  9. Final Notice 2019: Lynden Gerard Scourfield [pdf]

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

  10. Final Notice 2018: Arif Hussein [pdf]

    Final notices Published: 23/08/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition.