Fine
CySec
0
0
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
0
0
For breaching Statement of Principle 6.
0
0
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
0
0
For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").
0
0
For serious failings in their advised mortgage business.
0
0
For deliberately providing false and misleading information in his own mortgage application.
0
0
For misleading investment advice.
0
0
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 ...
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