non-Compliance With regulation
CySec
impose administrative fine for Violation
The Board of the Cyprus Securities and Exchange Commission (CySEC) has just informed the public that, at its meeting held on 20th November 2017, decided to ...
for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved Persons
FCA
For breaching section 63A of the Financial Services and Markets Act 2000 and FIT
For breaching Statement of Principle 1
For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.
For failing to comply with Statement of Principle 6 and Statement of Principle 7 of the Authority's Statement of Principle for Approved Persons.
For failing to adequately manage conflicts of interest between itself and its customers as well as systems and controls failings, in relation to the Gold ...
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