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Showing 21 to 30 of 241 search results for This final notice refers to breaches of FIT related to lack.
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FCA Final Notice 2013: Andrew Joseph Powell [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
FCA Final Notice 2013: Daniel Christopher Conway [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
Final Notice 2024: Graham Lilley T/A Global Car Leasing [pdf]
This Final Notice refers to breaches of FIT and COND related to a lack of fitness/propriety and breach of COND in the consumer credit sector. We imposed a prohibition and a cancellation of Part 4A permissions. -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2021: Colin Bermingham [pdf]
This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition. -
Final Notice: Richard Clay [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: Mr Paul White [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. -
Final Notice: Kathryn Clark [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal. -
Final Notice 2024: Tyrone Miller [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.”