Firms ›
Guaranty Trust Bank (UK) Limited
Legal entity: Guaranty Trust Bank (UK) Limited
FCA register status: Authorised — the FCA’s own status for this firm reference, not our finding. See the FCA’s own record on the Financial Services Register.
Companies House 05969821
1banking decisions
—uphold rate (too few to publish)
1not upheld
Only 1 decisions carry a recorded outcome for this firm. That is too few to publish a rate, so none is shown — a percentage over a handful of cases would be noise presented as a finding.
What the regulator did
FCA final notices naming this firm. This is a separate record from the Ombudsman decisions above: the Ombudsman resolves individual complaints, the FCA penalises the firm for rule breaches.
| Date | Penalty | Breach |
|---|---|---|
| 8 Aug 2013 | £525,000 | For failings in its anti-money laundering (AML) controls for high risk customers |
Decisions are attributed to a firm only where the decision text names it unambiguously. Where a name could refer to more than one firm, the decision is left unattributed rather than guessed, so these counts are a floor, not a total. Method.