Sunrise Brokers LLP
BGC Partners
BGC Partners
642400
2021
20211112
financial offences
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Sunrise Brokers agreed to pay a £642,400 fine in settlement of a finding by the FCA that the company had deficient systems and controls to identify and mitigate the risk of facilitating fraudulent trading and money laundering in relation to business introduced by the Solo Group.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United States
publicly traded
financial services
brokerage and financial technology
US05541T1016
https://www.fca.org.uk/news/press-releases/sunrise-brokers-llp-fine-serious-financial-crime-control-failings
UK21-65869
BGC Technology International Ltd
BGC Partners
BGC Partners
England and Wales
15725
2022
20220208
employment-related offences
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Age Discrimination, Breach of Contract, Public Interest Disclosure, Redundancy, Unfair Dismissal, Unlawful Deduction from Wages
agency action
UK-ET
Employment Tribunal
United States
publicly traded
financial services
brokerage and financial technology
US05541T1016
https://assets.publishing.service.gov.uk/media/620cca63e90e0710bfc89d53/Mr_M_Reid_-v-_BGC_Technology_International_Limited_-_3213257_2020_-_Consent_Judgment.pdf
UK21-68860
2