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Showing 171 to 180 of 1125 search results for This final notice refers to breaches of FIT related.
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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. -
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 -
Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]
This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition. -
2023 fines
Enforcement fines published in 2023. -
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. -
Final Notice 2015: Craig McNeil [pdf]
This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition. -
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 -
Final Notice 2022: Carlo Palombo [pdf]
This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity.