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
FCA
pursuant to section 66 of the Financial Services and Markets Act 2000 (the ‘Act’)
For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
For breaching Statement of Principle 7
For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...
For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.
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