FSA fines investment firm £10,500 for the failings of its subsidiary
The Financial Services Authority (FSA) has fined Trigon Pensions Limited (Trigon) £10,500 for failing to monitor advisers effectively at its appointed representative, Trigon Financial Services (TFS).
TFS did not record sufficient customer information and was therefore unable to demonstrate the quality of the advice that was given. It also failed to implement and follow an adequate Training and
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