For not complying with investment limits which are designed to protect consumers by limiting their exposure to risk.

For posing serious risk to consumers and to the confidence in the financial system.

For failing to meet the criteria of fitness and propriety by falsifying documents in relation to customers’ policies.

For failing to ensure it gave suitable advice to its customers and ensure that it financial promotions and communications with customers were clear fair and ...

For deliberately manipulating a UK government bond (gilt) on 10 October 2011.

For a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption.

For deliberately providing false and misleading information in his own mortgage application.

For allowing the US based FXCM Group to withhold profits worth approximately £6 million ($9,941,970) that should have been passed on to FXCM UK’s clients.

For mis-selling insurance policies, failing to investigate complaints adequately, the Board being insufficiently engaged with compliance, and senior management ...

For developing and executing a deliberate and targeted strategy to charge substantial mark-ups on certain transitions that were deliberately not agreed with ...