FCA
0
0
For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.
FCA
0
0
For breaching Principle 6 of the Authority's Principles for Businesses.
0
0
For breaching Principle 3 of the Authority's Principles for Businesses.
0
0
For breaching Statement of Principle 1
0
0
For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses.
0
0
For breaching Principle 3 and 7
0
0
For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions.
0
0
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
0
0
For breaching Principle 6 of the Authority's Principles.
0
0
For breaching Statements of Principle for Approved Persons 1 and 7
