Fine
0
0
For serious failings relating to its Chief Investment Office’s "London Whale" trades.
FCA
0
0
For client asset failings.
0
0
For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).
0
0
accordance with section 206 of the Financial Services and Markets Act 2000
0
0
non-Compliance with regulation
CySec
0
0
violating the Investment Services and Activities and Regulated Markets Law of 2007
0
0
Revocation of administrative sanctions
0
0
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform the public that, at its meeting held on 20th November 2017, decided to ...
0
0
Unfair treatment of customers, and failing to be open and co-operative in the trading firms sector
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