For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions.
FCA
For breaches of the listing rules in relation to sponsors.
For failing to act with honesty and integrity and exposing clients to excessive risk of financial loss.
For deliberately manipulating a UK government bond (gilt) on 10 October 2011.
For involvement in the submission of mortgage applications containing false information, and for making false and misleading statements to the FCA.
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 failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s Model Code.
pursuant to section 205 of the Financial Services and Markets Act 2000
