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Violation Tracker UK Individual Case

Company: Perspective Financial Management Limited
Penalty: £49,000
Year: 2011
Date: 24 January, 2011
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Perspective Financial Management was fined £49,000 in settlement of a finding by the FSA that the company failed to determine the suitability of its investment advice to customers' needs, and failed to follow regulations over the sale of unregulated collective investment schemes.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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