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Violation Tracker UK Individual Case

Company: Certes Capital Limited (formerly Marlborough Pension Trustees Limited)
Company County: Guernsey
Company Nation/Region: British Crown Dependency
Penalty: £0
Year: 2019
Date: 18 October, 2019
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: The Guernsey Financial Services Commission made a decision that a £30,000 penalty was appropriate but imposed no penalty since the company was in voluntary liquidation, having concluded that the company failed to show sufficient competence, experience and due diligence in handling the investments of its members.
Agency: Guernsey Financial Services Commission
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