For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons.

For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons.

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.

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

For serious failings relating to its Chief Investment Office’s "London Whale" trades.

For client asset failings.

For numerous failings in relation to the sale of mortgages and payment protection insurance (PPI).

accordance with section 206 of the Financial Services and Markets Act 2000

Fraudulent