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Violation Tracker UK Individual Case

Company: GAM International Management Ltd
Current Parent CompanyGAM Holding AG
Parent at the Time of the Penalty Announcement: GAM Holding AG
Penalty: £9,103,523
Year: 2022
Date: 30 March, 2022
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: GAM International agreed to pay a £9,103,523 fine following a finding by the FCA that the company failed to manage conflicts of interest with incentives offered by Greenshill Capital to an investment manager.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
HQ Country of Parent: Switzerland
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: investment management
Source of Data(click here)