FCA fines / 2016 / Steven Smith
Steven Smith FCA fine
RegActions records a disclosed FCA monetary penalty of £17,900 dated 12 Oct 2016 for Steven Smith.
Case facts
| Firm or individual | Steven Smith |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 12 Oct 2016 |
| Penalty | £17,900 |
| RegActions breach classification | AML |
| Public case ID | a06e7535-97a1-468d-953d-b1a010c9e710 |
Case summary
For breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector.
Official evidence
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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.