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 serious failings in their advised mortgage business.
For deliberately providing false and misleading information in his own mortgage application.
For misleading investment advice.
For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE ...
For misconduct relating to the London Interbank Offered Rate (LIBOR).
For breaches of Principles 3 and 8 of the Authority’s Principles for Businesses
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