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Violation Tracker UK Individual Case

Company: McInroy & Wood Limited
Penalty: £15,050
Year: 2011
Date: 15 November, 2011
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: McInroy & Wood paid a £15,050 fine in settlement of a finding by the FSA that the company failed to have required documentation of trust status 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
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