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FirmTracer aggregates publicly available data from official regulatory sources including the FCA Financial Services Register and Companies House. All data links directly to its original official source. This information is provided for research and due diligence purposes only and does not constitute legal or financial advice. FirmTracer is not affiliated with the Financial Conduct Authority or Companies House.

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  5. Final Notice 2022: Henderson Carter Associates Limited

Final Notice 2022: Henderson Carter Associates Limited

H & H Associates Limitedpublic censureMIS SELLING
17 May 2022

Official Documentation

SHA-256: de18a2c1c4891d820d3a4ae597825d20b64c2cbae3308d9a016e39e270ade16a
View on Regulator Website ↗

Executive Summary

* Henderson Carter Associates Limited (HCA) acted dishonestly and recklessly in its pension business, including misleading customers, failing to manage conflicts of interest regarding high-risk investments, and advising on pension transfers without the necessary permission. The firm also provided false and misleading information to the FCA. * The FCA would have imposed a financial penalty of £239,900, but due to HCA being in liquidation, the Authority instead published a statement detailing the firm's misconduct. * No remediation requirements stated in notice.

Other enforcement actions involving H & H Associates Limited

First Supervisory Notice 2021: Morgan Ingram Associates Limited
28 Jan 2022other
First Supervisory Notice 2021: Grosvenor Associates Limited
30 Nov 2021other
FSA Final Notice 2010: Kenwood Associates Limited
06 May 2010other
FSA Final Notice 2008: Mandrake Associates Limited
17 Jul 2008other
FSA Final Notice 2008: Trekfree Associates Limited
28 May 2008other
Disclaimer: This page contains regulatory data sourced directly from official regulators. FirmTracer is a data transparency platform and does not provide legal or financial advice. The inclusion of an entity in this database reflects public regulatory actions at a specific point in time.