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Showing 171 to 180 of 1331 search results for This Final Notice refers to breaches of FIT.
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2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
FCA operating service metrics 2021/22
The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
Final Notice 2022: Luke Andrew Durrant [pdf]
The Final Notice refers to breaches of FIT related to lack of fitness and proprietary in the General Insurance and Pensions sector. We imposed a prohibition. -
Decision Notice 2022: A [pdf]
This Decision Notice refers to breaches of FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: B [pdf]
This Decision Notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2023: Darren Antony Reynolds [pdf]
This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be -
FCA decision notice 2016: Arif Hussein [pdf]
This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.