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Showing 71 to 80 of 243 search results for final notice refers to breaches of FIT related to a lack.
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Final Notice 2017: Christine Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of -
Final Notice 2023: Christopher Vincent Summers [pdf]
This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Kevin Allen [pdf]
This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure. -
Final Notice 2018: Andrew Hind [pdf]
This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final Notice 2020: Jason Taylor [pdf]
This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2020: Peter Howson [pdf]
This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2015: Mothahir Miah [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition. -
Final Notice 2018: Jonathan Mathew [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
FCA Final Notice 2013: Kevin Peter Wells [pdf]
This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure. -
Final Notice 2020: Paul Michael Grant [pdf]
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.