Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 201 to 210 of 243 search results for final notice refers to breaches of APER 1 and FIT.

  1. Final notice 2016: Mark Samuel Taylor [pdf]

    Final notices Published: 13/05/2016 Last modified: 13/05/2016
    This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and

  2. Final notice: Andrew Barry Hart [pdf]

    Final notices Published: 13/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition.

  3. Final Notice 2018: Christopher Paul Brotherton [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.

  4. Final Notice 2021: Matthew Andrew Creed [pdf]

    Final notices Published: 14/07/2021
    This Final Notice (Matthew Andrew Creed) refers to breaches of FIT by a financial adviser. We imposed a prohibition

  5. Final Notice 2021: David Nicholas King [pdf]

    Final notices Published: 22/07/2021
    This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition.

  6. Final Notice 2019: Terry John Farr [pdf]

    Final notices Published: 29/05/2019
    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

  7. Final Notice 2017: Richard Telfryn Jones [pdf]

    Final notices Published: 16/11/2017
    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.

  8. FCA Final Notice 2014: Arnold Gary Eber [pdf]

    Final notices Published: 27/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

  9. Final Notice 2019: Giovanni Joseph Oliverio [pdf]

    Final notices Published: 28/08/2019
    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.

  10. Final notice 2016: Geoffrey Harold Arthur Fincher [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
Related searches
Related topics