Firm enforcement history

Bastion Capital London Ltd

FRN 232423Register status · No longer authorised1 enforcement actionFines imposed · £2.5m

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01 · Enforcement history

Actions recorded on Firmwatcher.

13 Jul 2023 · £2.5m

Fine

Bastion Capital London Ltd (in liquidation) was fined £2,452,700 by the Financial Conduct Authority for breaches of Principle 2 (firms must conduct business with due skill, care and diligence) and Principle 3 (firms must take reasonable care to organise and control their affairs responsibly and effectively, including adequate risk-management systems). The FCA’s action related to conduct between January 2014 and September 2015 and the penalty was imposed on 12 July 2023. The action is recorded in the FCA’s final notice for the firm.

Summarised from notice and press

Date	Action	Summary	Source document
13 Jul 2023	Fine £2.5m	Bastion Capital London Ltd (in liquidation) was fined £2,452,700 by the Financial Conduct Authority for breaches of Principle 2 (firms must conduct business with due skill, care and diligence) and Principle 3 (firms must take reasonable care to organise and control their affairs responsibly and effectively, including adequate risk-management systems). The FCA’s action related to conduct between January 2014 and September 2015 and the penalty was imposed on 12 July 2023. The action is recorded in the FCA’s final notice for the firm. Summarised from notice and press	Open the published notice or announcement

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