Mansion House Securities Limited


Financial Services Authority

To: Mansion House Securities Limited
Of: 8-10 Mansion House Place

Date: 31 March 2008
TAKE NOTICE: The Financial Services Authority of 25 The North Colonnade, Canary
Wharf, London E14 5HS ("the FSA") gives you final notice about a requirement to pay
a financial penalty.
1.1. The FSA gave Mansion House Securities Limited ("MHS/the Firm") a Decision
Notice on 27 March 2008 which notified MHS that, pursuant to section 206 of the
Financial Services and Markets Act 2000 ("FSMA"), the FSA had decided to impose
a penalty of £122,500 on MHS for breaches of the FSA Principles for Businesses
("FSA Principles") and Conduct of Business Rules ("COB") by MHS that occurred
between 3 May 2006 and 18 January 2007 ("the Relevant Period") in relation to its
advising and arranging the sale of higher risk shares to private customers. In
particular, MHS failed to:
(1) pay due regard to the interests of its customers and treat them fairly in breach
of Principle 6.


date added: 06/07/2012  ·  source:

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Mis-sold Shares Limited is regulated by the Claims Management Regulator in respect of regulated claims management activities Licence number CRM:30945


Start Your Claim Today!

A claim for mis-selling can arise if you have suffered losses as a result of negligent advice from a stockbroker or IFA.


  • Did you complete a fact find?
  • Were you over exposed in high-risk shares?
  • Were you pressurised to buy?
  • Were you told that they owned the shares and had a mark up / mark down?
  • Were recommendations suitable?


Complete this form, we will then contact you and advise you on your next steps...

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