Basic Search  |  Summaries  |  Advanced SearchPenalty: £35,000
Year: 2011
Date: 15 August, 2011
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Rockingham paid a £35,000 fine in settlement of a finding by the FSA that the company failed to ensure that its investment advice was suitable for certain customers, having failed to understand the regulatory restriction on promotion of some investments.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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