For failing to deal with the FSA in an open and cooperative manner.
FCA
Swinton breached Principles 3 (Management and control), 6 (Customers’ interests) and 7 (Communications with clients) of the Authority’s Principles for ...
Failed to submit to the SEC the report for the suitability of it's regulations for it's customers assets
CySec
Provide false information in relation to the Company’s bank accounts Balances
Violating section 9 of the Law Regulating Companies Providing Administrative Services and Related Matters, as in force (‘the Law’)
A settlement has been reached with the CIF Coverdeal Holdings Ltd («the Company») for possible violations of The Investment Services and Activities and ...
impose on Miss Parry, pursuant to section 66 of the Act and section 56
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