FCA fines Henderson £1.87m for client failings
- Wednesday, 20 November 2019
- Articles
The FCA has fined Henderson Investment Funds Limited £1.868m for failing to tell thousands of investors for five years that two active funds had been converted to ‘closet trackers.’
Read more...The FCA fines City broker £15.4m for management failures
- Friday, 11 October 2019
- Articles
The Financial Conduct Authority has fined leading City broker Tullett Prebon (Europe) Limited £15.4m for failing to conduct its business with “due skill, care and diligence.”
Read more...FCA fines Pru £23.9m for annuity sales failures
- Monday, 30 September 2019
- Articles
The Financial Conduct Authority has today fined The Prudential Assurance Company Limited £23.875m for failures related to non-advised sales of annuities.
Read more...HMRC fines firm record £7.8m for money laundering failings
- Friday, 06 September 2019
- Articles
HMRC has fined a London firm a record £7.8m as part of a crackdown on money laundering.
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