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Showing 71 to 80 of 241 search results for This final notice refers to breaches of FIT related to lack.

  1. Final Notice 2016: Adam Philip Hawkins [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2016: Dale Robert Walker [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. Final Notice 2016: Scott Michael Crawley [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  4. Final Notice 2020: Peter Howson [pdf]

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

  5. Final notice 2016: Mark Thorogood [pdf]

    Final notices Published: 12/01/2016 Last modified: 12/01/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

  6. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  7. Final notice 2016: Peter Charles Johnson [pdf]

    Final notices Published: 31/08/2016 Last modified: 31/08/2016
    This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

  8. Final Notice 2018: Terence Sefton Potter [pdf]

    Final notices Published: 29/05/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  9. Final notice 2015: Simon Mark Silva-Peake [pdf]

    Final notices Published: 16/12/2015 Last modified: 16/12/2015
    This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

  10. Final Notice 2017: Adrian Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety