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Violation Tracker UK Parent Company Summary

Parent Company Name: St. James's Place PLC
Ownership Structure: publicly traded
Headquartered in: United Kingdom
Major Industry: financial services
Specific Industry: wealth management
Penalty total since 2010£512,050
Number of cases: 3
Top Offence Groups (Groups Defined)Penalty TotalNumber of Cases
financial offences£511,0001
employment-related offences£1,0502
Top Offence TypesPenalty TotalNumber of Cases
investor protection violation£511,0001
pension plan violation£1,0502
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.

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CompanyOffence TypeYearAgencyPenalty Amount sort icon
Rowan Dartington & Co Limitedinvestor protection violation2010UK-FSA£511,000
St James's Place Wealth Managementpension plan violation2019UK-TPO£1,000
St James' Place Wealth Managementpension plan violation2015UK-TPO£50