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Showing 171 to 180 of 1133 search results for final notice refers to breaches of FIT related.

171. FCA decision notice 2016: Arif Hussein [pdf]

     Decision notices Published: 14/04/2016 Last modified: 14/04/2016
     This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.

172. Final Notice 2019: Samrat Deep Bhandari [pdf]

     Final notices Published: 05/04/2019
     This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order.

173. Decision Notice 2023: Darren Antony Reynolds [pdf]

     Decision notices Published: 28/09/2023
     This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

174. 2023 fines

     News stories Published: 12/01/2023 Last modified: 04/04/2024
     Enforcement fines published in 2023.

175. Final Notice 2015: Phillip Harold Boakes [pdf]

     Final notices Published: 24/11/2015 Last modified: 24/11/2015
     The case concerns breaches of FIT related to a lack of fitness/propriety in the investment adviser sector . We imposed a prohibition.

176. Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]

     Final notices Published: 17/09/2021
     This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

177. FCA Decision Notice 2016: Andrew Barry Hart [pdf]

     Decision notices Published: 14/07/2016 Last modified: 14/07/2016
     This decision notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We have decided to impose a prohibition.

178. Decision Notice 2018: Darren Lee Newton [pdf]

     Decision notices Published: 21/05/2018
     This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.

179. Decision Notice 2022: C [pdf]

     Decision notices Published: 30/11/2022
     This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed.

180. Final Notice 2022: Carlo Palombo [pdf]

     Final notices Published: 28/11/2022
     This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity.