Breaches of Statement of Principle 6 whilst performing the significant influence controlled function of CF1 (Director)
FCA
For breaching Statement of Principle 2 and 7.
For breaching Principle 3 and 7
For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.
For failing to properly protect clients’ safe custody assets worth £16.5 billion.
For failing to ensure it gave suitable advice to its customers and ensure that it financial promotions and communications with customers were clear fair and ...
For serious failings in its appointed representatives’ sales practices.
For incorrectly reporting transactions made in the wholesale market.
For delayed PPI redress payments.
breached Statement of Principle 1 of the Authority’s Statements of Principle
