Penalty
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CySEC warns against website exmsolution.com
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The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the website exmsolution.com, does not belong to an entity which has ...

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CySEC warns against unregulated entities 08/1/2021
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The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the following websites do not belong to an entity which has been ...

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Tariq Carrimjee Fined £89,004 by the Financial Conduct Authority
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for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved Persons

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Shay Jacob Reches (additional penalty) Fined £13,130,000 by the Financial Conduct Authority
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For breaching section 63A of the Financial Services and Markets Act 2000 and FIT

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Stephen Edward Bell Fined £33,800 by the Financial Conduct Authority
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For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.

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Anthony Peter Clare Fined £208,600 by the Financial Conduct Authority
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For failing to comply with Statement of Principle 6 and Statement of Principle 7 of the Authority's Statement of Principle for Approved Persons.

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Yorkshire Building Society Fined £1,429,000 by the Financial Conduct Authority
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For failing to ensure financial promotions for the Cliquet Product distributed by YBS, were clear, fair and not misleading.

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Standard Bank PLC Fined £7,640,400 by the Financial Conduct Authority
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For failings relating to anti-money laundering policies and procedures for corporate customers connected to politically exposed persons.

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AXA Wealth Services Ltd Fined £1,802,200 by the Financial Conduct Authority
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For failing to ensure it gave suitable investment advice to its customers.

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