Unfair treatment of customers, and failing to be open and co-operative in the trading firms sector
FCA
pursuant to section 66 of the Financial Services and Markets Act 2000 (the ‘Act’)
For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
For breaching Statement of Principle 7
For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...
For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.
For engaging in market abuse to create a false or misleading impression in order to achieve profit.
For serious failings relating to its Chief Investment Office’s "London Whale" trades.
For client asset failings.
For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).
- « Previous Page
- 1
- …
- 19
- 20
- 21
- 22
- 23
- …
- 27
- Next Page »
