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Showing 171 to 180 of 243 search results for final notice refers to breaches of FIT related to a lack.

  1. 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.

  2. Decision Notice: Stuart Malcolm Forsyth [pdf]

    Decision notices Published: 18/11/2019
    This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.

  3. Decision Notice: Andrew Page (Director of FPL) [pdf]

    Decision notices Published: 09/05/2018
    This decision notice (Andrew Page (Director of FPL)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  4. Final Notice 2015: Craig McNeil [pdf]

    Final notices Published: 22/09/2015 Last modified: 29/09/2015
    This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

  5. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Tristan Freer (Director of BHIM)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

  6. 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.

  7. Final Notice 2022: Philippe Moryoussef [pdf]

    Final notices Published: 28/07/2022
    This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity

  8. Final Notice 2023: David Nicholas King [pdf]

    Final notices Published: 19/05/2023
    This final notice (Mr David Nicholas King) refers to an application to vary a prohibition order imposed as a result of his lack of fitness and propriety following criminal convictions for theft, fraud and handling criminal property. The authority

  9. Decision Notice 2021: Geoffrey Edward Armin [pdf]

    Decision notices Published: 09/08/2021
    This decision notice (Geoffrey Edward Armin) refers to breaches of APER 2, APER 7, FIT and COBS related to failing to demonstrate that suitable advice was given in the investment adviser and pensions sector. Our view is that a financial penalty and

  10. FCA further decision notice 2016: Tariq Carrimjee [pdf]

    Decision notices Published: 05/02/2016 Last modified: 23/02/2016
    This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed.