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Showing 132 to 141 of 500 search results for fitness/propriety in the mortgages sector.
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Further Final Notice 2020: Lloyd Arnold Pope [pdf]
This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Final notice 2016: Andrea Christine Sadler [pdf]
This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and -
Decision Notice: Thomas Ward (de facto director of FPL) [pdf]
This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty -
Final Notice 2018: Alistair Rae Burns [pdf]
This Final Notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a fine and a prohibition. -
Final Notice 2019: Savatori Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition. -
Final Notice 2019: Giovanni Joseph Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition. -
Final Notice 2019: Andrew James Tinney [pdf]
This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure. -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final Notice 2016: Dale Robert Walker [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.