Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for Businesse
FCA
For breaching Statement of Principle 6, FIT
For breaching Principle 6 of the Authority's Principles for Businesses.
For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
breaches of Principle 8 and COBS 2.3.1R .
For misconduct relating to the London Interbank Offered Rate (LIBOR).
For misconduct in his performance as a CF1 Director.
For failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on the LSE ...
For breach of rules in relation to its sale of products provided by keydata.
Martins breached Principles 5 and 3 through misconduct relating to the calculation of JPY LIBOR
