Basic Search  |  Summaries  |  Advanced SearchPenalty: £34,344,700
Year: 2019
Date: 27 March, 2019
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Goldman Sachs paid a £34.3 million fine in settlement of a finding by the FCA that the company failed to have reasonable systems in place to follow transaction reporting requirements, thus failing to report approximately 15% of its transactions during the relevant period.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
HQ Country of Parent: United States
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: banking & securities
Source of Data: (click here)