Final notice 2015: Threadneedle Asset Management Limited

Published: 15/12/2015   Last Modified : 15/12/2015

This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for failing to correct the inaccurate representation for four months. We imposed a fine.