The Prudential Assurance Company Limited
M&G PLC
M&G PLC
23875000
2019
20190930
financial offences
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Prudential paid a £34 million fine (minus a 30% discount) in settlement of the FCA finding that the company failed to ensure fair and appropriate information was given to customers buying annuities.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.fca.org.uk/news/press-releases/fca-fines-prudential-failures-relating-non-advised-annuities-sales
UK21-16708
The Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
16000000
2013
20130327
financial offences
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Prudential was fined £16 million following a finding by the FSA that the company failed to deal with the Authority in an open and cooperative manner, by failing to inform it of acquisition plans involving major regulated companies.
agency action
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.fca.org.uk/publication/final-notices/fsa-prudential-plc.pdf
UK21-16837
Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
0
2015
20150417
employment-related offences
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Pension Liberation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-3590.pdf
no amount specified
UK21-52977
Prudential Assurance Company Limited.
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
7171
2012
20121008
employment-related offences
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Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2012/852972/prudential-pension-plan-852972
UK21-53188
The Prudential Assurance Company Limited
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
483
2011
20110207
employment-related offences
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Benefits: refusal/failure to pay or late payment
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2011/804791/scottish-teachers-superannuation-scheme-804791
UK21-53290
Prudential Assurance Company Ltd
M&G PLC
Prudential plc
Prudential changed holding company and name to M&G Prudential in 2018, and in 2019 split into Prudential plc and M&G plc, with Prudential Assurance Co. a subsidiary of M&G.
500
2011
20110112
employment-related offences
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Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
asset management
GB00BKFB1C65
https://www.pensions-ombudsman.org.uk/decision/2011/750761/prudential-personal-pension-750761
UK21-53293
6