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

  1. 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.

  2. 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.

  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. 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.

  10. 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.
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