RegActions records a disclosed FCA monetary penalty of £210,000 dated 22 Jan 2015 for David Caplin.
Case facts
| Firm or individual | David Caplin |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 22 Jan 2015 |
| Penalty | £210,000 |
| RegActions breach classification | PRINCIPLES |
| Public case ID | f8e6d3e2-60ce-4588-bf43-51daebff6018 |
Case summary
For breaching Statement of Principle 7.
Official evidence
This page meets the public case-page evidence threshold.
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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.