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Showing 121 to 130 of 243 search results for final notice refers to breaches of FIT related to lack.

  1. Final notice 2016: Colin J McIntosh [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

  2. Final notice 2016: Peter Francis Johnson [pdf]

    Final notices Published: 19/05/2016 Last modified: 19/05/2016
    This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

  3. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.

  4. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

  5. 2021 fines

    News stories Published: 04/03/2021 Last modified: 17/12/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.

  6. Final notice 2016: Mr Kevin Clarke [pdf]

    Final notices Published: 21/06/2016 Last modified: 21/06/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  7. Final Notice 2020: Gary John Gregson [pdf]

    Final notices Published: 15/04/2020
    This Final Notice (Gary John Gregson) refers to breaches of FIT related to the Threshold Conditions in the Consumer Credit. We imposed a prohibition.

  8. Final notice 2015: Vroni O'Brien [pdf]

    Final notices Published: 17/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

  9. FCA operating service metrics 2022/23

    Data Published: 20/07/2023 Last modified: 26/02/2024
    This report sets out how the FCA performed in 2022/23 against 54 operating service metrics, including how it dealt with regulatory applications, telephone enquiries and other correspondence.

  10. Consumer investments data review April - September 2021

    Data Published: 03/03/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.
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