![UT-2022-00097 - [2024] UKUT 00352 (TCC)](https://backend.juristeca.com/files/emisores/logo_ICfrj4g.png){kind=logo}
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- Heading
- Introduction
- Applicable law and regulatory provisions
- Step 1: Disgorgement
- Step 2: The seriousness of the breach
- Step 3: Mitigating and aggravating factors
- Step 4: Adjustment for deterrence
- Step 5: Settlement Discount
- Evidence
- Findings of Fact
- Background
- The Solo Business
- Onboarding of the Solo Clients
- Client Categorisation
- Transaction monitoring
- Regulatory Failings
- Assessment of the financial penalty
- Step 1 – disgorgement
- Steps 2 to 5 - General
- Step 2 - The seriousness of the breach
- Step 3 - Mitigating and aggravating factors
- Step 4 - Adjustment for deterrence
- Step 5
- Conclusions