Non Compliant

a restriction in terms that for a period of 168 days from the date of this Final Notice

For breaching Statement of Principle 6, FIT and certain applicable rules set out in CASS

For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.

For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.

For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 ...

For misconduct relating to the London Interbank Offered Rate (LIBOR).

For misconduct in his performance as a CF1 Director.

For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE ...

For breach of rules in relation to its sale of products provided by keydata.