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Showing 61 to 70 of 1323 search results for This Final Notice refers to breaches of FIT.

  1. Final Notice 2019: Freddy David [pdf]

    Final notices Published: 15/05/2019
    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2015: Christopher David Peacher [pdf]

    Final notices Published: 01/07/2015 Last modified: 01/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the consumer credit and investment advisor sectors. We imposed a cancellation and a prohibition.

  3. Final Notice 2019: Alison Mary Mills [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

  4. FCA Final Notice 2013: Andrew Joseph Powell [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

  5. Final notice: Andrew Barry Hart [pdf]

    Final notices Published: 13/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition.

  6. Final notice 2016: Mark Samuel Taylor [pdf]

    Final notices Published: 13/05/2016 Last modified: 13/05/2016
    This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and

  7. FCA Final Notice 2014: Daniel James Plunkett [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

  8. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

    Final notices Published: 07/08/2015 Last modified: 07/08/2015
    This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

  9. Final Notice 2019: Giovanni Joseph Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

  10. Final Notice 2017: Richard Telfryn Jones [pdf]

    Final notices Published: 16/11/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.
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