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 comply with Statement of Principle 6 of the Authority's Statement of Principle for Approved Persons.

For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 ...

breaches of Principle 8 and COBS 2.3.1R .

For serious failings in the treatment of mortgage customers facing payment difficulties.

For serious failings in relation to the protection of client money.

For serious failings in relation to the protection of client money.

For failing to properly protect clients’ safe custody assets worth £16.5 billion.

For failing to act with honesty and integrity and exposing clients to excessive risk of financial loss.

For failing to act with honesty and integrity in performing the significant influence function.