For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.
FCA
For failing to properly protect clients’ safe custody assets worth £16.5 billion.
For deliberately manipulating a UK government bond (gilt) on 10 October 2011.
For involvement in the submission of mortgage applications containing false information, and for making false and misleading statements to the FCA.
For failing to exercise due skill, care and diligence in managing the business of Burlington for which he was responsible in his controlled function.
For failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s Model Code.
pursuant to section 205 of the Financial Services and Markets Act 2000
Advertisment missing Risk Disclosure
CySec
non-Compliance with regulation
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