RegActions records a disclosed FCA monetary penalty of £3,444,100 dated 23 Nov 2020 for TFS-ICAP Limited.
Case facts
| Firm or individual | TFS-ICAP Limited |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 23 Nov 2020 |
| Penalty | £3,444,100 |
| RegActions breach classification | PRINCIPLES |
| Public case ID | 73ce5503-0ae4-4f34-841b-350bb9668ea2 |
Case summary
This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a fine.
Official evidence
This page meets the public case-page evidence threshold.
Continue your research
- Search the complete FCA fines database
- View FCA actions from 2020
- Compare enforcement actions in 2020
- 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.