Violations of Law 2005 and Law 2007

Non Compliant

failure to comply with Statement of Principles 1 and 6 of the Authority’s Statements of Principle for Approved Persons

For breaching Statement of Principle 6 of the Authority's Statements of Principle for Approved Persons.

For breaching Statements of Principle for Approved Persons 1 and 7.

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

For serious misconduct relating to the Special Liquidity Scheme (SLS), the Repo Rate benchmark and the London Interbank Offered Rate (LIBOR).

For developing and executing a deliberate and targeted strategy to charge substantial mark-ups on certain transitions that were deliberately not agreed with ...

For failing to treat its mortgage customers fairly.

For failing to ensure advice given to customers was suitable and for poor systems and controls.