Search results
Showing 171 to 180 of 243 search results for final notice refers to breaches of APER 1 and FIT.
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Final Notice 2016: Scott Michael Crawley [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 2017: Damian Frank Clarke [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
FCA Final Notice 2014: Jonathan Paul Burrows [pdf]
This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
FCA Final Notice 2014: Michael Stanley Hirst [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
FCA Final Notice 2014: Leanne Marie Nicholson [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2018: Jonathan Mathew [pdf]
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. -
Final notice 2016: Peter Charles Bottomley [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 2019: Guiseppe Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.