Fine
0
0
For breaching Principle 6.
FCA
0
0
For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
0
0
For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons.
0
0
For breaching Statement of Principle 1
0
0
For breaching Statement of Principle 7
0
0
For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.
0
0
For breaching Principle 6 of the Authority's Principles for Businesses.
0
0
For breaching Principle 3 of the Authority's Principles for Businesses.
0
0
For breaching Statement of Principle 1
0
0
For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses.
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