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Showing 111 to 120 of 1324 search results for This Final Notice refers to breaches of FIT.
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Final notice 2016: Peter Francis Johnson [pdf]
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 -
Final Notice 2022: Ashkan Zahedian [pdf]
This Final Notice (Ashkan Zahedian) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition. -
FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]
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. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
FCA Final Notice 2013: Kevin Peter Wells [pdf]
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. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Final notice 2016: Shay Jacob Reches [pdf]
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 -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
FCA Final Notice 2014: Craig Stuart Cameron [pdf]
This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition. -
Final Notice 2018: Guillaume Adolph [pdf]
This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.