RegActions records a disclosed FCA monetary penalty of £41,400 dated 16 Mar 2020 for Robert Ian Shaw.
Case facts
| Firm or individual | Robert Ian Shaw |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 16 Mar 2020 |
| Penalty | £41,400 |
| RegActions breach classification | PRINCIPLES |
| Public case ID | 4aabe641-4b62-44a3-a00a-a141838c3670 |
Case summary
For breaching Statement of Principle 7. Penalty revised following the outcome of a referral of a linked case to the Upper Tribunal.
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.