Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 181 to 190 of 1331 search results for This final notice refers to breaches of FIT.

  1. FCA Decision Notice 2016: Andrew Barry Hart [pdf]

    Decision notices Published: 14/07/2016 Last modified: 14/07/2016
    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.

  2. Decision Notice 2018: Darren Lee Newton [pdf]

    Decision notices Published: 21/05/2018
    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.

  3. Decision Notice 2020: Jon Frensham [pdf]

    Decision notices Published: 29/03/2021
    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

  4. Decision Notice 2022: C [pdf]

    Decision notices Published: 30/11/2022
    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.

  5. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    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

  6. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    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

  7. Final Notice 2021: Advantage Hire Ltd [pdf]

    Final notices Published: 28/10/2021
    This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

  8. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    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

  9. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    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

  10. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.
Related topics