For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).
FCA
breached Principle 1 of the Statements of Principle and Code of Practice for Approved Persons by failing to act with integrity
non compliance with regulation
CySec
violating sections 75(2) and 139(2) of the Investment Services and Activities and Regulated Markets Law of 2007
Not complied with paragraph 9(1) of CySEC Directive DI144-2007-01 of 2012 for the Authorisation and Operating Conditions of CIF's
The Board of the Cyprus Securities and Exchange Commission (CySEC) has just informed the public that, at its meeting held on 20th November 2017, decided to ...
Pursuant to section 206 and 206A of the Act a financial penalty
For breaching Principle 6.
For breaching Statement of Principle 7
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