non-Compliance with regulation
CySec
provide misleading information and date in relation to his academic qualifications and economic soundness
The Board of the Cyprus Securities and Exchange Commission (‘the CySEC’) would like to inform the public that, at the meeting held on 4 th December 2017, ...
Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for Businesse
FCA
For breaching Statement of Principle 6, FIT
For breaching Principle 6 of the Authority's Principles for Businesses.
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
breaches of Principle 8 and COBS 2.3.1R .
For not complying with investment limits which are designed to protect consumers by limiting their exposure to risk.
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