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Showing 181 to 190 of 243 search results for final notice refers to breaches of FIT related to a lack.

  1. Final Notice 2018: Paul John Flowers [pdf]

    Final notices Published: 06/03/2018
    This final notice refers to a lack of fitness and propriety and is related to culture/governance in the retail bank sector. We imposed a prohibition.

  2. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector.

  3. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

  4. Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]

    Final notices Published: 26/08/2015 Last modified: 26/08/2015
    This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  5. Final Notice 2023: Denis Lee Morgan [pdf]

    Final notices Published: 28/06/2023
    This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals.

  6. FCA decision notice 2015: Charles Palmer [pdf]

    Decision notices Published: 11/12/2015 Last modified: 11/12/2015
    This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

  7. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  8. FCA Final Notice 2014: Philip Eley [pdf]

    Final notices Published: 27/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition.

  9. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

  10. FCA Final Notice 2013: John Douglas Leslie [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.