For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
FCA
For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 ...
For not complying with investment limits which are designed to protect consumers by limiting their exposure to risk.
For serious failings in the systems and controls governing financial incentives to sales staff.
For failing to meet minimum regulatory standards in terms of performing significant influence functions with due skill, care and diligence.
For failing to deal with the FSA in an open and cooperative manner.
Swinton breached Principles 3 (Management and control), 6 (Customers’ interests) and 7 (Communications with clients) of the Authority’s Principles for ...
CySec
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