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Showing 151 to 160 of 243 search results for final notice refers to breaches of FIT related to lack.

151. 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.

152. Final Notice 2018: Darren Colvin Cummings [pdf]

     Final notices Published: 08/06/2018
     This FCA final notice (Darren Colvin Cummings) refers to breaches of APER 1 and FIT relating to a lack of fitness and/propriety in the general insurance and mediation sector. We imposed a fine and prohibition.

153. Final Notice 2022: Paul Seakens [pdf]

     Final notices Published: 14/01/2022
     This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

154. Final Notice 2020: Frank Cochran [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

155. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

     Final notices Published: 09/12/2020 Last modified: 09/12/2020
     This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

156. 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.

157. Final Notice 2020: Mark Horsey [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement.

158. 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.

159. Final Notice 2022: Kreis Financial Ltd [pdf]

     Final notices Published: 31/01/2022
     This final notice (Kreis Financial Ltd) refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

160. 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.