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Violation Tracker UK Individual Case

Company: Henderson Investment Funds Ltd.
Current Parent CompanyJanus Henderson
Penalty: £1,867,900
Year: 2019
Date: 18 November, 2019
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Henderson paid a £1.86 million fine in settlement of the FCA finding the company failed to inform retail investors of a reduction in active management of two of its funds, treating them unfairly in comparison to institutional investors who were informed and had fees dropped.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
HQ Country of Parent: United Kingdom
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: investment management
Source of Data(click here)