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).

For failings in its anti-money laundering (AML) controls for high risk customers

For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.

BLFM is failing to satisfy the threshold conditions set out in Schedule 6 of the Act. In particular, BLFM is failing to satisfy Threshold Condition 4 ...

Engaged in Abusive Practices