Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Parent Company Summary

Parent Company Name: Close Brothers Group PLC
Ownership Structure: publicly traded
Headquartered in: United Kingdom
Major Industry: financial services
Specific Industry: merchant banking
Penalty total since 2010£4,150,500
Number of cases: 2
Top Offence Groups (Groups Defined)Penalty TotalNumber of Cases
financial offences£4,150,5002
Top Offence TypesPenalty TotalNumber of Cases
investor protection violation£4,150,5002
Note: Parent-subsidiary linkages are based on current relationships and may vary from what was the case when a violation occurred.

Individual Penalty Cases:

Click on the company or penalty amount for more information on each case.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyOffence TypeYearAgencyPenalty Amount sort icon
Winterflood Securities Limitedinvestor protection violation2010UK-FSA£4,052,500
Close Investments Limitedinvestor protection violation2010UK-FSA£98,000