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Showing 61 to 70 of 239 search results for final notice refers to breaches of FIT related to lack.
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Final Notice 2017: Richard Telfryn Jones [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
Final notice 2016: Geoffrey Harold Arthur Fincher [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. -
FCA Final Notice 2014: Craig Stuart Cameron [pdf]
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. -
Final Notice 2020: Paul Michael Grant [pdf]
This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2017: Graham Patrick Lockstone [pdf]
This final notice refers to breaches of FIT related to a lack of fitness and/propriety in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2018: Guillaume Adolph [pdf]
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. -
Final Notice 2015: Ralph Whittington [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal. -
Final notice 2016: Mark Kelly [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 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition. -
Final notice 2016: Patrick Gray [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.