For not complying with investment limits which are designed to protect consumers by limiting their exposure to risk.
FCA
For serious failings in the systems and controls governing financial incentives to sales staff.
For failing to meet minimum regulatory standards in terms of performing significant influence functions with due skill, care and diligence.
For failing to deal with the FSA in an open and cooperative manner.
pursuant to section 66 of the Act , for failing to comply with Statement of Principle 1
Failed to submit to the SEC the report for the suitability of it's regulations for it's customers assets
CySec
Provide false information in relation to the Company’s bank accounts Balances
Violating section 9 of the Law Regulating Companies Providing Administrative Services and Related Matters, as in force (‘the Law’)
