Case Profile & Senior Manager Attestation
UK FCA Jurisdiction
SMCR Statutory Presumption: Senior Managers must take reasonable steps to prevent regulatory contraventions in their areas of responsibility (FSMA s.66A/B Duty of Responsibility).
Discrepancy Matrix: Market Claims vs Verified Facts
2 Active Statements Under Scrutiny| Public Statement / Claim | Filing Context | Verified Audit Reality | Breach Classification |
|---|
+ Add Statement / Public Representation to Cross-Examine
FCA DEPP 6.5 Penalty & Sanction Matrix
Deliberate & Concealed
Recommended Fine
£480,000
DEPP 6.5.B Step 2-4 calibrated
Prohibition Order (FSMA s.56)
FULL BAN
Fitness & Propriety Revoked
SMCR Responsibility Failure
HIGH
Duty of Responsibility Triggered
Mitigation Discount
0%
No early settlement tier
Enforcement Parametric Modifiers
Enforcement Audit Preview (Generated Case File)
Local Memory Latched
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Precedent Context: Reuters Enforcement Wire • UK Regulator vs Former Blue Horizon Executives (Market Misstatements, Bans & Penalties).