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Showing 131 to 140 of 1331 search results for This Final Notice refers to breaches of FIT.

131. Final Notice 2015: Peter Charles Legerton [pdf]

     Final notices Published: 20/03/2015 Last modified: 20/03/2015
     This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

132. Final notice 2016: Terence Andrew Joint [pdf]

     Final notices Published: 09/05/2016 Last modified: 09/05/2016
     This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

133. Final Notice 2017: Charles Palmer [pdf]

     Final notices Published: 19/09/2017
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

134. Final Notice 2021: Shaffarat Parvez [pdf]

     Final notices Published: 08/10/2021
     This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

135. Final Notice 2015: Stephen Edward Bell [pdf]

     Final notices Published: 13/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

136. Final notice 2016: Robert John Bygrave [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and

137. Final Notice 2018: Alistair Rae Burns [pdf]

     Final notices Published: 20/09/2018
     This Final 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. We imposed a fine and a prohibition.

138. Final notice 2016: Andrea Christine Sadler [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

139. Final Notice 2019: Samrat Deep Bhandari [pdf]

     Final notices Published: 05/04/2019
     This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order.

140. Final Notice 2022: Thomas Henry Ward [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.