Search results
Showing 171 to 180 of 206 search results for final notice refers to breaches of APER 6 and FIT related.
-
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
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. -
Final Notice 2015: John Edward Duncan Field [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Craig Stuart Cameron [pdf]
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. -
Final Notice 2019: Alison Mary Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final notice: Andrew Barry Hart [pdf]
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. -
Final Notice 2018: Christopher Paul Brotherton [pdf]
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. -
Final notice 2016: Mark Samuel Taylor [pdf]
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 -
Final Notice 2019: Terry John Farr [pdf]
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. -
Final notice 2016: Geoffrey Harold Arthur Fincher [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: Savatori 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.