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Violation Tracker UK Individual Case
Company: RSM Tenon Financial Services Limited
Current Parent Company:
RSM Group
Parent at the Time of the Penalty Announcement: RSM Group
Recap of Ownership Changes: RSM Tenon was acquired by Baker Tilly after bankruptcy in 2013, and rebranded as RSM UK in 2015.
Penalty: £700,000
Year: 2010
Date: 24 February, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Tenon paid a £700,000 fine in settlement of a finding by the FSA that the company treated customers unfairly by failing to have reasonable advice and sales processes relating to Lehman-backed structured investments.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
HQ Country of Parent: United Kingdom
Ownership Structure of Parent: privately held
Major Industry of Parent: business services
Specific Industry of Parent: accounting
Source of Data:
(click here)
