RegActions records a disclosed FCA monetary penalty of £105,000 dated 7 Apr 2017 for Lukhvir Thind.
Case facts
| Firm or individual | Lukhvir Thind |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 7 Apr 2017 |
| Penalty | £105,000 |
| RegActions breach classification | CLIENT_MONEY |
| Public case ID | 3d60e9a6-2bab-485b-b94f-5058523bd8bd |
Case summary
For breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector.
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.