Fine
For breaching Principle 11
FCA
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules.
For breaching Statement of Principle 7.
For breaching Statement of Principle 6 and 7.
For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.
For breaches of the listing rules in relation to sponsors.
For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").
For breaches of Principles 3 and 7, SYSC 3.2.6R and Certain applicable rules set out in COB and COBS.
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