For a lack of integrity and for failing to deal openly and transparently with the regulator.

For serious failings relating to its Chief Investment Office’s "London Whale" trades.

For failing to ensure it gave suitable investment advice to its customers.

For failing to identify, and therefore properly protect, client money placed in Money Market Deposits with third party banks.

For failings in its anti-money laundering (AML) controls for high risk customers

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 failing to meet minimum regulatory standards in terms of performing significant influence functions with due skill, care and diligence.

For failing to put in place insurance policies for a client, and for not passing on the relevant premiums to insurer.

For failings in relation to its telephone sales of monthly add-on insurance products.

For incorrectly reporting transactions made in the wholesale market.