Zenith Financial Limited
1 of 16 sanctions recorded for Malta.
- Sanction date
- 29 Nov 2012
- Country
- Malta
- Legal framework
- MiFID
- Nature of sanction
- Administrative sanction and measure
- ESMA sanction ID
- 1006
Other sanctions against this entity (1)
Sanction text
Original language: English. Text is published as-is from ESMA.
MFSP Financial Management Ltd. has submitted an appeal on 31st October 2012 before the Financial Services Tribunal against the following MFSA’s decisions: [1] to impose this administrative penalty; [2] to restrict MFSP Financial Management Ltd. licence from selling complex products both on an advisory and non-advisory basis and [3] to carry out a file review for those clients who had invested in ARM Assured Income Plan and/or ARM Capital Growth Bond.
Related registers
- MiFID Register NCA-level enforcement actions
- EU Sanctions Commission restrictive measures
Data sourced from the ESMA sanctions and enforcement register, updated weekly.
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