FCA secures fine of £3.2M for insider dealers
Seven insider dealers have been ordered to pay £3.2 million following a court case bought by the FCA.
Money Laundering Failings
Action taken against firm and MLRO for failings including inadequate review of AML systems and controls and poor record keeping of staff AML training
Father and Son
Financial penalty
Oil futures and alcohol
Broker fined £72,000 by FSA
Directed trades
Final Notice issued by FSA
FSA Actions On Money Laundering
Penalties imposed on both firm and MLRO
Winterflood Securities Fined
FSA fines Wins £4m
Cumming and Going
Unauthorised transactions involving customer money
Broker abuse
Inside information abused by individual