Fine

Timothy Duncan Philip Fined £60,000 by the Financial Conduct Authority.

Reason: Breaches of Statement of Principle 6 whilst performing the significant influence controlled function of CF1 (Director)Date: 13/07/2016Amount: 60000.00Link: https://www.fca.org.uk/publication/final-notices/timothy-duncan-philip.pdf

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Gavin Duncan Paul Breeze Fined £59,557 by the Financial Conduct Authority

Reason: agreed to settle at an early stage of the Authority’s investigation.Mr Breeze therefore qualified for a 30% (stage 1) discount under the Authority’s executive settlement procedures. Were it not for this discount.Date: 15/07/2016Amount: 59557.00Link: https://www.fca.org.uk/publication/final-notices/gavin-breeze.pdf

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Cenkos Securities Plc Fined £530,500 by the Financial Conduct Authority

Reason: 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 settlement procedures.Date: 09/08/2016Amount: 530500.00Link: https://www.fca.org.uk/sites/default/files/cenkos-securities.pdf

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Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited Fined £8,246,800.00 by the Financial Conduct Authority

Reason: Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for BusinesseDate: 05/10/2016Amount: 8246800.00Link: https://www.fca.org.uk/publication/final-notices/aviva-pension-trustees-uk-limited-aviva-wrap-uk-limited.pdf

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Tariq Carrimjee Fined £89,004 by the Financial Conduct Authority

Reason: for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved PersonsDate: 28/11/2016Amount: 89004.00Link: https://www.fca.org.uk/publication/final-notices/tariq-carrimjee-2016.pdf

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