RegActions records a disclosed FCA monetary penalty of £642,400 dated 12 Nov 2021 for Sunrise Brokers LLP.
Case facts
| Firm or individual | Sunrise Brokers LLP |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 12 Nov 2021 |
| Penalty | £642,400 |
| RegActions breach classification | AML |
| Public case ID | f2c776f3-14bc-4c8a-be15-abf85ef75f47 |
Case summary
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.
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.