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Showing 61 to 70 of 239 search results for final notice refers to breaches of FIT related to a lack.
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Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
Final Notice 2018: Terence Sefton Potter [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition. -
Final notice 2015: Simon Mark Silva-Peake [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
Final Notice 2021: Colin Bermingham [pdf]
This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition. -
Final Notice 2017: Adrian Whitehurst [pdf]
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 -
Final Notice 2017: Christine Whitehurst [pdf]
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 -
Final Notice 2023: Christopher Vincent Summers [pdf]
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. -
Final Notice 2015: Kevin Allen [pdf]
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. -
Final Notice 2020: Jason Taylor [pdf]
This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.