For failings in its anti-money laundering (AML) controls for high risk customers

For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE ...

For failing to meet minimum regulatory standards in terms of performing significant influence functions with due skill, care and diligence.

For failing to put in place insurance policies for a client, and for not passing on the relevant premiums to insurer.

For failings in relation to its telephone sales of monthly add-on insurance products.

For incorrectly reporting transactions made in the wholesale market.

For failing to exercise due skill, care and diligence in managing the business of Burlington for which he was responsible in his controlled function.

For Market Abuse (market manipulation).

For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE ...

For poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd.