For failing to handle payment protection insurance (PPI) complaints fairly.
FCA
For breaches of Principles 1,2 and 10 of the Authority’s Principles for Businesses
BLFM is failing to satisfy the threshold conditions set out in Schedule 6 of the Act. In particular, BLFM is failing to satisfy Threshold Condition 4 ...
Martins breached Principles 5 and 3 through misconduct relating to the calculation of JPY LIBOR
Swinton breached Principles 3 (Management and control), 6 (Customers’ interests) and 7 (Communications with clients) of the Authority’s Principles for ...
pursuant to section 66 of the Act , for failing to comply with Statement of Principle 1
pursuant to section 66 and section 56 of the Act
breached Statement of Principle 1 of the Authority’s Statements of Principle
pursuant to section 205 of the Financial Services and Markets Act 2000
pursuant to section 56 and section 66 of the Act
