violating Article 26 (5) of the Investment Services and Activities and Regulated Markets Law of 2007
CySec
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) would like to inform the public that, at the meeting held on 13th November 2017, has ...
makes an order prohibiting
FCA
For breaching Statement of Principle 1,4 and 7. Also breaching FIT and certain applicable rules set out by CASS
For breaching Statement of Principle 7
For breaching Principle 11
For failing to comply with Statement of Principle 6 of the Authority's Statement of Principle for Approved Persons.
For failing to observe proper standards of market conduct and failing to act with integrity by placing orders to seek to influence the Gold Fixing and for ...
For communications and suitability failings in relation to geared traded endowment policies (GTEPs).
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