Threadneedle Asset Management has been fined over £6m by the Financial Conduct Authority(FCA) for various failings in its fixed income business.
The group was fined £6,038,504 for failing to put in place adequate controls in the fixed income area of its front office and providing inaccurate information to the regulator. It also failed to correct...
Three years at Wells Fargo
Effective from 9 December 2019
One firm with permission suspensions left
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