Search results

Showing 111 to 120 of 1332 search results for Final Notice refers to breaches of FIT.

111. Final Notice 2018: Andrew Hind [pdf]

     Final notices Published: 15/11/2018
     This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

112. Final Notice 2022: Thomas Henry Ward [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

113. 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

114. Final Notice 2022: Ashkan Zahedian [pdf]

     Final notices Published: 08/11/2022
     This Final Notice (Ashkan Zahedian) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

115. Final Notice 2015: Jeremy Kraft [pdf]

     Final notices Published: 22/01/2015 Last modified: 22/01/2015
     This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

116. 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.

117. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

     Final notices Published: 13/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

118. 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

119. FCA Final Notice 2013: Kevin Peter Wells [pdf]

     Final notices Published: 18/04/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

120. Final notice 2016: Shay Jacob Reches [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection