Fine
Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI ...
FCA
engaging in market abuse (insider dealing)
imposes on Mr Joint pursuant to section 66 of the Act
failure to comply with Statement of Principles 1 and 6 of the Authority’s Statements of Principle for Approved Persons
Pursuant to section 206 and 206A of the Act a financial penalty
pursuant to section 66 of the Financial Services and Markets Act 2000 (the ‘Act’)
Financial penalty pursuant to section 63A(1) of the Act
For breaching section 63A of the Financial Services and Markets Act 2000 and FIT
For breaching Statement of Principle 1,4 and 7. Also breaching FIT and certain applicable rules set out by CASS
For breaching Statement of Principle 6, FIT and certain applicable rules set out in CASS
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