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

Search results

Showing 121 to 130 of 206 search results for final notice refers to breaches of APER 6 and FIT related.

  1. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

  2. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

    Final notices Published: 16/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. Final Notice 2018: Darren Lee Newton [pdf]

    Final notices Published: 20/12/2018
    This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  4. Final Notice 2022: Thomas Henry Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  5. Final Notice 2019: David John 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.

  6. Final Notice 2018: Alok Dhanda [pdf]

    Final notices Published: 16/01/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. Final Notice 2018: Alex Hope [pdf]

    Final notices Published: 07/03/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  8. Final Notice 2016: Ross Tony Peters [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.

  9. Final Notice 2016: Aaron Lee Petrou [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.

  10. Final Notice 2019: Mark Dobson [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.