Sigma Broking Limited

The Financial Conduct Authority fined Sigma Broking Limited (FRN 485362) £1,087,300 for breaches of MiFIR and Principle 3 (the requirement to act with due skill, care and diligence). Sigma agreed to resolve the matter through the FCA’s executive settlement procedures and qualified for a 30% discount; without that discount the fine would have been £1,553,300. The action appears on the FCA register dated 2025-07-29 and is recorded in the FCA’s final notice linked below.

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.