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Showing 191 to 200 of 1125 search results for This final notice refers to breaches of FIT related.
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Decision Notice: Stuart Malcolm Forsyth [pdf]
This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed. -
FCA further decision notice 2016: Tariq Carrimjee [pdf]
This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed. -
Decision Notice: Andrew Page (Director of FPL) [pdf]
This decision notice (Andrew Page (Director of FPL)) 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 -
Decision Notice: Tristan Freer (Director of BHIM) [pdf]
This decision notice (Tristan Freer (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 -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative -
Final Notice 2024: Floris Jakobus Huisamen [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We -
FCA Decision Notice 2015: Stewart Owen Ford [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, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be