RegActions records a disclosed FCA monetary penalty of £531,600 dated 4 Oct 2022 for Sigma Broking Limited.
Case facts
| Firm or individual | Sigma Broking Limited |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 4 Oct 2022 |
| Penalty | £531,600 |
| RegActions breach classification | MARKET_ABUSE |
| Public case ID | 7cb141f1-dbdb-4abb-98c2-c29b3d2b4029 |
Case summary
This Final Notice refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm 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.