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

Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI ...

engaging in market abuse (insider dealing)

imposes on Mr Joint pursuant to section 66 of the Act

failure to comply with Statement of Principles 1 and 6 of the Authority’s Statements of Principle for Approved Persons

Pursuant to section 206 and 206A of the Act a financial penalty