For breaching Principle 6 of the Authority's Principles for Businesses.
FCA
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
breaches of Principle 8 and COBS 2.3.1R .
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 ...
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