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Showing 1 to 10 of 239 search results for final notice refers to breaches of FIT related to 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. 2022 fines

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

3. 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.

4. 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.

5. 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.

6. 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.

7. Final Notice 2017: Adam Lancelot [pdf]

   Final notices Published: 20/09/2017
   This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

8. FCA Final Notice 2014: Anthony Verrier [pdf]

   Final notices Published: 29/01/2014 Last modified: 07/04/2015
   This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

9. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

   Final notices Published: 16/10/2015 Last modified: 16/10/2015
   This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

10. FCA Final Notice 2013: Michael Conway [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.