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Showing 181 to 190 of 243 search results for final notice refers to breaches of APER 1 and FIT.

181. Final Notice 2019: Lynden Gerard Scourfield [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

182. Final Notice 2018: Edward John Booth [pdf]

     Final notices Published: 25/07/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

183. Final Notice 2018: Mark Robert Kennedy [pdf]

     Final notices Published: 25/07/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

184. Final Notice 2015: Steven Martin [pdf]

     Final notices Published: 23/10/2015 Last modified: 23/10/2015
     This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

185. Final Notice 2018: Arif Hussein [pdf]

     Final notices Published: 23/08/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition.

186. Final Notice 2024: Nicholas Andrew McNeil [pdf]

     Final notices Published: 08/02/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

187. FCA Final Notice 2013: Kevin Peter Wells [pdf]

     Final notices Published: 18/04/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

188. Final notice 2016: Shay Jacob Reches [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

189. Final Notice 2018: David James Carter Mullins [pdf]

     Final notices Published: 25/07/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

190. FCA Final Notice 2014: John Christopher Hughes [pdf]

     Final notices Published: 29/04/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.