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Showing 81 to 90 of 1126 search results for final notice refers to breaches of FIT related.

81. Final Notice 2015: Kevin Allen [pdf]

    Final notices Published: 09/06/2015 Last modified: 09/06/2015
    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.

82. 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.

83. 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.

84. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

85. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

86. Final Notice 2018: Darren Lee Newton [pdf]

    Final notices Published: 20/12/2018
    This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

87. Final Notice 2020: Jason Taylor [pdf]

    Final notices Published: 04/06/2020
    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.

88. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.

89. Final Notice 2018: Andrew Hind [pdf]

    Final notices Published: 15/11/2018
    This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

90. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.