Fine
0
0
Agreed to settle at an early stage of the Authority’s investigation. Cenkos therefore qualified for a 30% (Stage 1 ) discount under the Authority’s executive ...
FCA
0
0
For breaching Principle 11
0
0
For breaching Statement of Principle 1
0
0
For breaching Statement of Principle 7.
0
0
For serious failings in relation to the protection of client money.
0
0
For failing to meet the criteria of fitness and propriety by falsifying documents in relation to customers’ policies.
0
0
For misconduct relating to the London Interbank Offered Rate (LIBOR).
0
0
For failings in relation to its telephone sales of monthly add-on insurance products.
0
0
For Listing Rules breaches.
0
0
pursuant to section 66 and section 56 of the Act
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