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Showing 1 to 10 of 1331 search results for Final Notice refers to breaches of FIT.

1. Final Notice 2017: Adrian Whitehurst [pdf]

   Final notices Published: 23/10/2017
   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: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety

2. Final Notice 2017: Christine Whitehurst [pdf]

   Final notices Published: 23/10/2017
   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

3. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

   Final notices Published: 17/12/2013 Last modified: 08/06/2020
   This final notice refers to breaches of FIT related to

4. Final notice 2016: Mark Thorogood [pdf]

   Final notices Published: 12/01/2016 Last modified: 12/01/2016
   This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

5. 2022 fines

   News stories Published: 28/02/2022 Last modified: 04/01/2023
   Enforcement fines published in 2022.

6. Final Notice: Richard Clay [pdf]

   Final notices Published: 25/10/2016
   This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

7. Final Notice 2016: Daniel Peter Terrence Forsyth [pdf]

   Final notices Published: 01/11/2016
   This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

8. FCA Final Notice 2014: Michael Bains [pdf]

   Final notices Published: 06/01/2014 Last modified: 07/04/2015
   This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

9. Final Notice: Kathryn Clark [pdf]

   Final notices Published: 25/10/2016
   This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

10. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.