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Showing 91 to 100 of 1331 search results for This Final Notice refers to breaches of FIT.

  1. Final Notice 2022: Jeanine Lewis [pdf]

    Final notices Published: 28/04/2022
    This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.

  2. Final Notice 2022: Charanjit Sandhu [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition.

  3. 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.

  4. Final Notice 2021: Colin Bermingham [pdf]

    Final notices Published: 01/11/2021
    This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

  5. Final Notice 2020: Simon Charles Oakley [pdf]

    Final notices Published: 21/09/2020 Last modified: 21/09/2020
    This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

  6. Final Notice 2016: Tariq Carrimjee [pdf]

    Final notices Published: 28/11/2016
    This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  7. Final Notice 2022: Andrew Roy Brooke [pdf]

    Final notices Published: 06/04/2022
    This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

  8. Final Notice 2015: Paul Reynolds [pdf]

    Final notices Published: 20/05/2015 Last modified: 20/05/2015
    This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

  9. Final Notice 2020: John Butterfield [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

  10. Final Notice 2022: Michael Mendonca Nascimento [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition.
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