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

For breaching section 63A of the Financial Services and Markets Act 2000 and FIT

For breaching Statement of Principle 1

For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.

For failing to comply with Statement of Principle 6 and Statement of Principle 7 of the Authority's Statement of Principle for Approved Persons.

For failing to ensure financial promotions for the Cliquet Product distributed by YBS, were clear, fair and not misleading.

For failings relating to anti-money laundering policies and procedures for corporate customers connected to politically exposed persons.

For failing to ensure it gave suitable investment advice to its customers.

For systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

For failing to handle payment protection insurance (PPI) complaints fairly.