When regulators strike

International Adviser highlights several instances where regulators have fined companies that refused to play by the rules.

When regulators strike

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According to the FCA, the UK-headquartered asset manager broke rules designed to limit investors’ exposure to risk on more than 33 occasions across more than 15 of its funds, accounting for more than 70% of the firms’ total £47bn in assets under management.

Here, International Adviser highlights several other instances where regulators have publically shamed the companies that refused to play by the rules.

Click here to see five institutions that were made to pay the (sometimes extremely!) large price of misconduct.

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