For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.

For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 ...

For failing to observe proper standards of market conduct and failing to act with integrity by placing orders to seek to influence the Gold Fixing and for ...

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

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

For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.

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 ...

Not Authorised or Registered Firm by FCA

Fraudulent

Abuse