FCA
0
0
Agreed to settle at an early stage of the Authority’s investigation. Cenkos therefore qualified for a 30% (Stage 1 ) discount under the Authority’s executive ...
FCA
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0
For breaching Principle 11
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0
For breaching Statement of Principle 1
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0
For breaching Statement of Principle 7.
0
0
For serious failings in relation to the protection of client money.
0
0
For posing serious risk to consumers and to the confidence in the financial system.
0
0
For failing to arrange adequate protection for client money for which it was responsible.
0
0
For failing to put in place insurance policies for a client, and for not passing on the relevant premiums to insurer.
0
0
For Listing Rules breaches.
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0
pursuant to section 66 of the Act , for failing to comply with Statement of Principle 1
