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Showing 81 to 90 of 1323 search results for This Final Notice refers to breaches of FIT.

81. Final Notice 2018: Terence Sefton Potter [pdf]

    Final notices Published: 29/05/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

82. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

83. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

84. Final Notice 2015: Kevin Allen [pdf]

    Final notices Published: 09/06/2015 Last modified: 09/06/2015
    This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

85. Final Notice 2022: Stuart Rea [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

86. Final Notice 2022: Hugh Edwards [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.

87. Final Notice 2022: Jeanine Lewis [pdf]

    Final notices Published: 28/04/2022
    This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.

88. Final Notice 2022: Charanjit Sandhu [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition.

89. Final Notice 2017: Damian Frank Clarke [pdf]

    Final notices Published: 01/06/2017
    This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

90. Final Notice 2021: Colin Bermingham [pdf]

    Final notices Published: 01/11/2021
    This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.