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Showing 131 to 140 of 243 search results for final notice refers to breaches of APER 1 and FIT.

131. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

132. Final Notice 2024: Paul Ulliott [pdf]

     Final notices Published: 15/01/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

133. Final Notice: Kathryn Clark [pdf]

     Final notices Published: 25/10/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

134. Final Notice 2024: Robert Harriss [pdf]

     Final notices Published: 24/05/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

135. Final Notice 2022: Thomas Henry Ward [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

136. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

137. Final Notice 2018: Darren Lee Newton [pdf]

     Final notices Published: 20/12/2018
     This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

138. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

     Final notices Published: 16/02/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

139. Final Notice 2022: Paul Seakens [pdf]

     Final notices Published: 14/01/2022
     This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

140. Final Notice 2021: Servicesport Finance Limited [pdf]

     Final notices Published: 10/11/2021
     This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.