Basic Search  |  Summaries  |  Advanced SearchCompany County: Guernsey
Company Nation/Region: British Crown Dependency
Penalty: £0
Year: 2020
Date: 4 May, 2020
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: The Guernsey Financial Services Commission made a decision that a £50,000 penalty was appropriate but imposed no penalty since the company had been wound up, having concluded that the company had engaged in unlicensed business in Structured Notes and had not met requirements for provision of suitable financial advice and avoidance of conflicts of interest.
Agency: Guernsey Financial Services Commission
Source of Data: (click here)