RegActions records a disclosed FCA monetary penalty of £288,963 dated 9 Jan 2025 for Arian Financial LLP.
Case facts
| Firm or individual | Arian Financial LLP |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 9 Jan 2025 |
| Penalty | £288,963 |
| RegActions breach classification | AML |
| Public case ID | 577d300d-53c8-40c4-b6e4-401746f01de6 |
Case summary
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firm sector. This case was referred to the Upper Tribunal and a judgment was issued on 11 November 2024. 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.