Search results
Showing 121 to 130 of 239 search results for final notice refers to breaches of APER 1 and FIT.
-
FCA Final Notice 2014: Peter Thomas Carron [pdf]
This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
Final notice 2016: Mr Paul White [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. -
Final Notice 2023: Denis Lee Morgan [pdf]
This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals. -
FCA Final Notice 2014: Michael Bains [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice: Richard Clay [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Daniel Peter Terrence Forsyth [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
Final Notice 2015: Magnus Michael Peterson [pdf]
This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2015: Robin Choudhury [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2024: Paul Ulliott [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.