Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Individual Case

Company: SEI Investments (Europe) Limited
Penalty: £900,200
Year: 2013
Date: 25 November, 2013
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: SEI paid a £900,200 fine in settlement of a finding by the FCA that the company failed to adequately protect client money through a lack of suitable accounting.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
Source of Data(click here)