FCA fines / 2017 / Merrill Lynch International
Merrill Lynch International FCA fine
RegActions records a disclosed FCA monetary penalty of £34,524,000 dated 23 Oct 2017 for Merrill Lynch International.
Case facts
| Firm or individual | Merrill Lynch International |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 23 Oct 2017 |
| Penalty | £34,524,000 |
| RegActions breach classification | REPORTING |
| Public case ID | a2db76b2-9b55-422f-bb5d-20e3f991f154 |
Case summary
For breaches of Article 9 of EMIR and PRIN 3 by failing to report 68.5 million derivative transactions.
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.