CySec
agreed to settle at an early stage of the Authority’s investigation.Mr Breeze therefore qualified for a 30% (stage 1) discount under the Authority’s executive ...
FCA
For breaching Principles 1, 3 and 10 and certain applicable rules set out in CASS and COND
For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses.
For breaching Statement of Principle 6 and 7.
For serious failings in relation to the protection of client money.
For failing to ensure it gave suitable advice to its customers and ensure that it financial promotions and communications with customers were clear fair and ...
For serious failings in its appointed representatives’ sales practices.
For incorrectly reporting transactions made in the wholesale market.
For delayed PPI redress payments.
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