FinesFSMA
Sigma Broking Limited
FRN 4853624 October 2022Fine · £531,600
01 · In plain English
What happened.
The FCA imposed a fine of £531,600 on Sigma Broking Limited in a Final Notice dated 4 October 2022 for failing to submit required reports: 56,000 contracts-for-difference (CFD) transaction reports and 97 suspicious-activity reports. The action was taken by the Financial Conduct Authority and is recorded on the FCA register. The FCA register excerpt and Final Notice record the penalty; the provided register entry does not mention any customer redress, a settlement discount, or an appeal.
Summary generated from the FCA notice and press reports. Check the final notice below before relying on it.
02 · Enforcement details
What the FCA register says.
The FCA issued a Final Notice by which it imposed a fine of £531,600 against Sigma Broking Limited for failing to report 56,000 contracts for difference (CFD) transactions and 97 suspicious transactions to the FCA.
03 · Firm details
Firm on the FCA register.
- Firm name
- Sigma Broking Limited
- Firm reference number
- 485362
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