Fine
0
0
violations of the Transparency
CySec
0
0
non-Compliance with regulation
0
0
violating section 34 of The Investment Services and Activities and Regulated Markets Law of 2007
0
0
imposes on Mr Joint pursuant to section 66 of the Act
FCA
0
0
For breaching Principle 1 of the Statement of Principle and Code of Practice for Approved Persons.
0
0
For breaching Statements of Principle for Approved Persons 1 and 7
0
0
For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...
0
0
In relation to sales of accident insurance products.
0
0
For mis-selling insurance policies, failing to investigate complaints adequately, the Board being insufficiently engaged with compliance, and senior management ...
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