Fine
For serious failings in relation to the protection of client money.
FCA
For serious failings in relation to the protection of client money.
For failing to properly protect clients’ safe custody assets worth £16.5 billion.
For failing to act with honesty and integrity in performing the significant influence function.
For serious failings in their advised mortgage business.
For failing to accurately report all the CFD Equity Swaps.
In relation to sales of accident insurance products.
For serious misconduct relating to the Special Liquidity Scheme (SLS), the Repo Rate benchmark and the London Interbank Offered Rate (LIBOR).
For engaging in two instances of market abuse by disclosing inside information other than in the proper course of his employment in two emails dated 9 ...
For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.
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