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Violation Tracker UK Individual Case

Company: Pi Financial Limited
Penalty: £58,300
Year: 2012
Date: 18 September, 2012
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Pi Financial paid a £58,300 fine in settlement of a finding by the FSA that the company failed to have adequate risk management systems for its sales, supervision and compliance, and failed to take reasonable care to ensure the suitability of its advice to clients.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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