Tag - fit and proper

FCA successfully appeals Upper Tribunal decision

Laura Wiles

18/12/2024

FCA bans individual after criminal conviction

Emma Radmore

06/09/2024

Tribunal backs FCA refusal of authorisation application on fit and proper grounds

Laura Wiles

04/09/2024

Tribunal backs FCA on Saranac/Kalaris decision

Emma Radmore

28/08/2024

FCA refuses application on fit and proper concerns

Emma Radmore

05/08/2024

FCA appeal against Tribunal decision allowed

Emma Radmore

31/01/2024

Tribunal makes limited costs order but criticises FCA and the law

Emma Radmore

15/11/2023

FCA publishes decision notice on SMF application

Emma Radmore

06/02/2023

FCA Portfolio letter- wholesale brokers

Emma Radmore

11/01/2023

Tribunal backs FCA on crypto-refusal decision

Emma Radmore

09/12/2022

No further action against HBOS senior managers

Emma Radmore

26/08/2022

Employee fairly dismissed for failing to disclose that he had been made bankrupt

FIN. Team

27/07/2022

Tribunal decides dismissal for bankruptcy is fair

FIN. Team

20/07/2022

Employment tribunal orders reinstatement of dismissed trader

Emma Radmore

24/02/2022

FCA comments on crypto-provider controllers

Emma Radmore

23/02/2022

Tribunal considers crypto registration refusal

Emma Radmore

18/02/2022

FCA issues final notice after conspiracy to defraud conviction

Emma Radmore

01/11/2021

FCA fines adviser for pension transfer advice failings

Emma Radmore

18/10/2021

FCA publishes final notice on fraud

Emma Radmore

11/10/2021

FCA publishes individual ban notice

Emma Radmore

29/07/2021

ECB consults on “fit and proper”

Emma Radmore

16/06/2021

FCA confirms delay to first F&P assessment

Emma Radmore

02/09/2020

FCA updates on SMCR and reporting

Emma Radmore

14/08/2020

Employer can rely on Tribunal view in F&P assessment

Emma Radmore

30/05/2019

HMRC updates MLR help pages

Emma Radmore

15/01/2019

Firms’ permissions cancelled for failure to be open and co-operative with the FCA

FIN. Team

23/08/2018

BSB publishes fit and proper guidance

Emma Radmore

23/02/2018

Court dismisses Angela Burns appeal

Emma Radmore

03/01/2018

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