Transaction Reporting Failure

for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved Persons

makes an order prohibiting

a restriction in terms that for a period of 168 days from the date of this Final Notice

Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for Businesse

impose on Miss Parry, pursuant to section 66 of the Act and section 56

Agreed to settle at an early stage of the Authority’s investigation. Cenkos therefore qualified for a 30% (Stage 1 ) discount under the Authority’s executive ...

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 ...

Breaches of Statement of Principle 6 whilst performing the significant influence controlled function of CF1 (Director)

Due to significant systems and control weaknesses went undetected for several years