Search results
Showing 181 to 190 of 1331 search results for This Final Notice refers to breaches of FIT.
-
FCA Decision Notice 2016: Andrew Barry Hart [pdf]
This decision notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We have decided to impose a prohibition. -
Decision Notice 2018: Darren Lee Newton [pdf]
This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed. -
Decision Notice 2020: Jon Frensham [pdf]
This provisional Decision Notice refers to what the FCA considers to be breaches of FIT by a financial adviser. This Decision Notice has been referred to the Upper Tribunal and will have no effect pending the determination of the case by the Tribunal -
Decision Notice 2022: C [pdf]
This Decision Notice refers to breaches of APER 1 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. -
FCA Decision Notice 2016: Andrew Tinney [pdf]
This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and -
FCA Decision Notice 2016: Alistair Rae Burns [pdf]
This decision 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. Our view is that a fine, prohibition and withdrawal should be -
Final Notice 2021: Advantage Hire Ltd [pdf]
This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval. -
Decision Notice: Robert Ward (Director of BHIM) [pdf]
This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a -
FCA Decision Notice 2015: Mark John Owen [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a -
2023 fines
Enforcement fines published in 2023.