Violation Tracker UK

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Violation Tracker UK Individual Case

Company: Integrated Financial Arrangements plc
Current Parent Company: IntegraFin Holdings PLC
Parent at the Time of the Penalty Announcement: Integrated Financial Arrangements plc
Recap of Ownership Changes: Integrated Financial Arrangements was combined with its affiliates to form a new listed company, IntegraFin Holdings PLC, in 2018.

Penalty: £3,500,000
Year: 2011
Date: 5 December, 2011
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Integrated Financial Arrangements paid a £3.5 million fine in settlement of a finding by the FSA that the company failed to have required accounting and documentation to identify client money, risking loss of clients' money if the company became insolvent.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
HQ Country of Parent: United Kingdom
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: investor services
Source of Data: (click here)