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Violation Tracker UK Individual Case

Company: Cenkos Securities Plc
Penalty: £530,500
Year: 2016
Date: 8 August, 2016
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Cenkos paid a £530,000 fine in settlement of a finding by the FCA that the company failed to have appropriate systems and controls in place across its sponsor services business and incorrectly represented to the FCA that one of its clients was eligible for a Premium Listing on the London Stock Exchange.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
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