CySec
Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI ...
FCA
For breaching Statement of Principle 6.
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").
For failing to accurately report all the CFD Equity Swaps.
For allowing the US based FXCM Group to withhold profits worth approximately £6 million ($9,941,970) that should have been passed on to FXCM UK’s clients.
Former compliance officer fined for failing to act with due skill, care and diligence.
For poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd.
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