violating section 139(2) of the Investment Services and Activities and Regulated Markets Law of 2007
CySec
The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) wishes to inform the public that, at its meeting held on the 16th September 2019, ...
Breaches of Statement of Principle 6 whilst performing the significant influence controlled function of CF1 (Director)
FCA
For breaching Statement of Principle 2 and 7.
For breaching Principle 3 and 7
For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.
For failing to properly protect clients’ safe custody assets worth £16.5 billion.
For deliberately manipulating a UK government bond (gilt) on 10 October 2011.
For involvement in the submission of mortgage applications containing false information, and for making false and misleading statements to the FCA.
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