For fabricating two Statements of Professional Standing to give an impression he was appropriately qualified.

For engaging in market abuse to create a false or misleading impression in order to achieve profit.

For failings relating to anti-money laundering policies and procedures for corporate customers connected to politically exposed persons.

For failing to have in place appropriate checks and controls to guard against the risk of bribery or corruption when making payments to overseas third parties.

For communications and suitability failings in relation to geared traded endowment policies (GTEPs).

For misconduct in his performance as a CF1 Director.

For serious failings in the systems and controls governing financial incentives to sales staff.

For failing to arrange adequate protection for client money for which it was responsible.

For misconduct relating to the London Interbank Offered Rate (LIBOR).

For serious failings in its appointed representatives’ sales practices.