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Showing 141 to 150 of 1333 search results for Final Notice refers to breaches of FIT.

141. Final notice 2016: Elizabeth Anne Parry [pdf]

     Final notices Published: 01/09/2016
     This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

142. 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.

143. Final Notice 2022: Andrew Mark Thomas Page [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Andrew Mark Thomas Page) 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. We imposed a prohibition and

144. Final Notice 2021: Shaffarat Parvez [pdf]

     Final notices Published: 08/10/2021
     This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

145. Final notice 2015: Vroni O'Brien [pdf]

     Final notices Published: 17/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

146. Final Notice 2022: William Mark Tristan Freer [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (William Mark Tristan Freer) 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. We imposed a prohibition

147. Final Notice 2017: Niall O’Kelly [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

148. Final Notice 2019: Samrat Deep Bhandari [pdf]

     Final notices Published: 05/04/2019
     This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order.

149. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

150. Final Notice 2020: Gary John Gregson [pdf]

     Final notices Published: 15/04/2020
     This Final Notice (Gary John Gregson) refers to breaches of FIT related to the Threshold Conditions in the Consumer Credit. We imposed a prohibition.