For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.

For breaching Statement of Principle 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 engaging in two instances of market abuse by disclosing inside information other than in the proper course of his employment in two emails dated 9 ...

For fabricating two Statements of Professional Standing to give an impression he was appropriately qualified.

For a lack of integrity and for failing to deal openly and transparently with the regulator.

For conducting regulated activities despite being subject to a requirement.

For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).

breached Principle 1 of the Statements of Principle and Code of Practice for Approved Persons by failing to act with integrity

Fraudulent