RegActions records a disclosed FCA monetary penalty of £6,470,600 dated 2 Oct 2023 for ADM Investor Services International Limited.
Case facts
| Firm or individual | ADM Investor Services International Limited |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 2 Oct 2023 |
| Penalty | £6,470,600 |
| RegActions breach classification | AML |
| Public case ID | 95c29107-dfb4-49ce-afa0-c54f45b6fb9a |
Case summary
This Final Notice refers to breaches of PRIN 3 of the FCA’s Principles for Business related to serious financial crime control failings in the Wholesale Intermediaries and Brokers 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.