Search results

Showing 101 to 110 of 202 search results for final notice refers to breaches of APER 6 and FIT related.

101. Final Notice 2022: Matthew Charles Kent [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial

102. 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.

103. Final Notice 2017: Adrian Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety

104. Final Notice 2020: John Butterfield [pdf]

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

105. 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.

106. Final Notice 2017: Christine Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of

107. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

108. FCA Final Notice 2014: Peter Thomas Carron [pdf]

     Final notices Published: 16/09/2014 Last modified: 07/04/2015
     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.

109. Final notice 2016: Mr Paul White [pdf]

     Final notices Published: 12/04/2016 Last modified: 12/04/2016
     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.

110. FCA Final Notice 2014: Michael Bains [pdf]

     Final notices Published: 06/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.