RegActions records a disclosed FCA monetary penalty of £20,000 dated 30 Sep 2015 for John Joseph Financial Services Limited.
Case facts
| Firm or individual | John Joseph Financial Services Limited |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 30 Sep 2015 |
| Penalty | £20,000 |
| RegActions breach classification | SYSTEMS_CONTROLS |
| Public case ID | cbe6e5f0-67e2-45ae-8db6-861863cf6773 |
Case summary
For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
Official evidence
This page meets the public case-page evidence threshold.
Continue your research
- Search the complete FCA fines database
- View FCA actions from 2015
- Compare enforcement actions in 2015
- 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.