Fine
For breaching Principle 3 and 7
FCA
For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions.
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
For breaching Principle 6 of the Authority's Principles.
For breaching Statements of Principle for Approved Persons 1 and 7
For breaching Statements of Principle for Approved Persons 1 and 7.
For behaviour amounting to market abuse in breach of section 118(2) of the act
For breaching Statement of Principle 7
For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons.
For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.
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