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Showing 161 to 170 of 243 search results for final notice refers to breaches of APER 1 and FIT.

161. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     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.

162. FCA Final Notice 2014: David John Hobbs [pdf]

     Final notices Published: 25/02/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

163. Final Notice 2018: John McCullagh [pdf]

     Final notices Published: 03/10/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

164. Final Notice 2017: Adam Lancelot [pdf]

     Final notices Published: 20/09/2017
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

165. 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.

166. Final Notice 2018: Russell Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

167. Final Notice 2018: Andrew Hind [pdf]

     Final notices Published: 15/11/2018
     This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

168. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

169. Final Notice 2015: Paul Christopher Ridden [pdf]

     Final notices Published: 18/02/2015 Last modified: 18/02/2015
     This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

170. Final Notice 2017: Stephen Alan Fox [pdf]

     Final notices Published: 19/09/2017
     This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.