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Showing 111 to 120 of 1324 search results for This final notice refers to breaches of FIT.

111. 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

112. 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.

113. 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.

114. 2021 fines

     News stories Published: 04/03/2021 Last modified: 17/12/2021
     This page contains information about enforcement fines published during the calendar year ending 2021.

115. 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.

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. 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

118. Final Notice 2018: Alexander David Osborne Stuart [pdf]

     Final notices Published: 26/03/2018
     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.

119. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

     Final notices Published: 29/08/2014 Last modified: 07/04/2015
     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.

120. Final Notice 2018: Guillaume Adolph [pdf]

     Final notices Published: 05/03/2018
     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.