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Showing 101 to 110 of 1133 search results for final notice refers to breaches of FIT related.

101. 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.

102. 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.

103. 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.

104. Final notice 2016: Timothy Duncan Philip [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition.

105. Final Notice 2015: Ralph Whittington [pdf]

     Final notices Published: 10/09/2015 Last modified: 10/09/2015
     This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

106. 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.

107. Final Notice 2020: Corrado Abbattista [pdf]

     Final notices Published: 15/12/2020
     This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

108. FCA Final Notice 2014: Daniel James Plunkett [pdf]

     Final notices Published: 23/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

109. Final Notice 2017: Charles Palmer [pdf]

     Final notices Published: 19/09/2017
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

110. Final Notice 2015: Peter Charles Legerton [pdf]

     Final notices Published: 20/03/2015 Last modified: 20/03/2015
     This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.