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Violation Tracker UK Individual Case

Company: James Sharp and Company
Penalty: £49,000
Year: 2012
Date: 24 October, 2012
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Plus500UK and James Sharp and Co. paid £205,128 and £49,000 fines respectively in settlement of findings by the FSA that the companies failed to provide accurate transaction reports on their trading, when reportable transactions had to be submitted to the FSA by the close of the business day after the transaction took place for detection and investigation of market abuse.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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