A settlement has been reached with the CIF Coverdeal Holdings Ltd («the Company») for possible violations of The Investment Services and Activities and ...
CySec
impose on Miss Parry, pursuant to section 66 of the Act and section 56
FCA
For breaching Statement of Principle 6 and certain applicable rules set out by ICOBS
For breaching Principle 3 of the Authority's Principles for Businesses.
For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules.
For serious failings in the treatment of mortgage customers facing payment difficulties.
For posing serious risk to consumers and to the confidence in the financial system.
For failing to arrange adequate protection for client money for which it was responsible.
For failing to put in place insurance policies for a client, and for not passing on the relevant premiums to insurer.
For Listing Rules breaches.
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