For conducting regulated activities despite being subject to a requirement.
FCA
For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).
breached Principle 1 of the Statements of Principle and Code of Practice for Approved Persons by failing to act with integrity
non-Compliance with regulation
CySec
violating the Investment Services and Activities and Regulated Markets Law of 2007
Revocation of administrative sanctions
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform the public that, at its meeting held on 20th November 2017, decided to ...
Unfair treatment of customers, and failing to be open and co-operative in the trading firms sector
pursuant to section 66 of the Financial Services and Markets Act 2000 (the ‘Act’)
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