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Showing 1 to 10 of 239 search results for final notice refers to breaches of FIT related to a lack.

1. 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

2. 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.

3. 2022 fines

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

4. 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.

5. Final Notice 2015: Robin Choudhury [pdf]

   Final notices Published: 16/11/2015 Last modified: 16/11/2015
   This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

6. Final Notice 2015: Magnus Michael Peterson [pdf]

   Final notices Published: 26/10/2015 Last modified: 26/10/2015
   This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

7. 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.

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: Kathryn Clark [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 and withdrawal.

10. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.