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Showing 211 to 220 of 243 search results for final notice refers to breaches of FIT related to lack.
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FCA Final Notice 2014: Timothy Adrian Hughes [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure. -
FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition. -
FCA Final Notice 2014: RSA Mortgage Services [pdf]
This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal. -
FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2013: Christopher John Riches [pdf]
This final notice refers to breaches of PRIN 1 and PRIN 11 related to lack of fitness/propriety, failing to be open and co-operative and threshold conditions in the mortgages and consumer credit sector. We imposed a fine, withdrawal and a prohibition -
Final Notice 2019: Andrew James Tinney [pdf]
This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure. -
FCA Final Notice 2013: Derek Jones [pdf]
This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition. -
FCA Final Notice 2013: Route of Asia Money Exchange Limited [pdf]
This final notice refers to breaches of PSR related to lack of fitness and propriety in the payment services sector. We imposed a refusal. -
Final Notice 2015: Diane Hunter t/a Village Autocare [pdf]
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. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial