FCA fines / 2014 / Peter Joseph Halpin
Peter Joseph Halpin FCA fine
RegActions records a disclosed FCA monetary penalty of £412,700 dated 5 Nov 2014 for Peter Joseph Halpin.
Case facts
| Firm or individual | Peter Joseph Halpin |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 5 Nov 2014 |
| Penalty | £412,700 |
| RegActions breach classification | GOVERNANCE |
| Public case ID | bee6577b-6322-4d38-b78d-93fc6954a8bd |
Case summary
For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 during the relevant period complied with the relevant requirements and standards of the regulatory system.
Official evidence
This route is available for navigation but is excluded from search indexing until its evidence coverage meets the public case-page threshold.
Continue your research
- See all FCA fines for Peter Joseph Halpin
- Search the complete FCA fines database
- View FCA actions from 2014
- Compare enforcement actions in 2014
- FCA fines 2014 report
- Read the enforcement data methodology
Scope
This page describes one source-linked monetary record. RegActions excludes non-monetary outcomes and amounts awaiting review from FCA fine totals. The FCA publication remains the authoritative source.