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Violation Tracker Individual Record

Company: Martin Currie
Penalty: $8,300,000
Year: 2012
Date: May 10, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: A Scotland-based fund management group agreed to pay $8.3 million to settle SEC allegations of fraudulently using one of its U.S. fund clients to rescue another client, a China-focused hedge fund struggling in the midst of the global financial crisis.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.