Search results

Showing 1 to 10 of 1126 search results for final notice refers to breaches of FIT related.

1. 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

2. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

   Final notices Published: 17/12/2013 Last modified: 08/06/2020
   This final notice refers to breaches of FIT related to

3. 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

4. Final notice 2016: Mark Thorogood [pdf]

   Final notices Published: 12/01/2016 Last modified: 12/01/2016
   This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

5. 2022 fines

   News stories Published: 28/02/2022 Last modified: 04/01/2023
   Enforcement fines published in 2022.

6. Final notice 2015: Simon Mark Silva-Peake [pdf]

   Final notices Published: 16/12/2015 Last modified: 16/12/2015
   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.

7. Final Notice 2023: Mark Anthony Jensen [pdf]

   Final notices Published: 13/11/2023
   This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

8. 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.

9. Final Notice 2024: Paul Ulliott [pdf]

   Final notices Published: 15/01/2024
   This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

10. Final Notice: Richard Clay [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.