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Violation Tracker UK Individual Case
Company: Rowan Dartington & Co Limited
Current Parent Company:
St. James's Place PLC
Parent at the Time of the Penalty Announcement: Evolve Capital
Recap of Ownership Changes: Evolve Capital sold Rowan Dartington to Rowan Dartington Holdings Limited in 2013. St. James Place acquired Rowan Dartington in 2015.
Penalty: £511,000
Year: 2010
Date: 4 June, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Rowan Dartington paid a £511,000 fine in settlement of a finding by the FSA that the company failed to maintain adequate accounts with trust status to distinguish client assets accurately, risking loss to the client if the company became insolvent.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
HQ Country of Parent: United Kingdom
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: wealth management
Source of Data:
(click here)
