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Showing 191 to 200 of 243 search results for final notice refers to breaches of APER 1 and FIT.

191. Final Notice 2019: Freddy David [pdf]

     Final notices Published: 15/05/2019
     This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

192. Final Notice 2015: Christopher David Peacher [pdf]

     Final notices Published: 01/07/2015 Last modified: 01/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the consumer credit and investment advisor sectors. We imposed a cancellation and a prohibition.

193. Final Notice 2018: Guillaume Adolph [pdf]

     Final notices Published: 05/03/2018
     This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.

194. Final Notice 2024: James William Edward Lewis [pdf]

     Final notices Published: 07/05/2024
     This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order.

195. Final Notice 2020: Russell David Jameson [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Russell David Jameson) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

196. Final Notice 2020: Paul Michael Grant [pdf]

     Final notices Published: 12/02/2020
     This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

197. FCA Final Notice 2013: Andrew Joseph Powell [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.

198. Final Notice 2015: John Edward Duncan Field [pdf]

     Final notices Published: 15/07/2015 Last modified: 15/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

199. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

     Final notices Published: 29/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.

200. Final Notice 2019: Alison Mary Mills [pdf]

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