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Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI ...

For breaching Statement of Principle 6.

For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook

For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").

For failing to act with honesty and integrity in performing the significant influence function.

For a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption.

For misleading investment advice.

For Market Abuse (market manipulation).

For failings in its sale of an AIG fund.