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Violation Tracker UK Individual Case

Company: Interactive Brokers (UK)
Current Parent Company: Interactive Brokers Group
Parent at the Time of the Penalty Announcement: Interactive Brokers Group
Penalty: £1,049,412
Year: 2018
Date: 25 January, 2018
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: IBUK was fined £1,049,412 in a finding by the FCA that the company failed to have adequate systems and controls to detect suspicious transactions.
Action Type: agency action
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: stock brokerage
Source of Data: (click here)