Fine
0
0
For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.
FCA
0
0
For breach of rules in relation to its sale of products provided by keydata.
0
0
For failing to deal with the FSA in an open and cooperative manner.
0
0
For Listing Rules breaches.
0
0
For Listing Rules breaches.
0
0
For delayed PPI redress payments.
0
0
For failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s Model Code.
0
0
For failings in its sale of an AIG fund.
0
0
For misconduct relating to the London Interbank Offered Rate (LIBOR).
0
0
For market abuse (market manipulation).
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