Regulator-risks

RISK

THE RISK OF NOT UNDERSTANDING AN INVESTMENT PRODUCT

The failure of Arch Cru and Keydata affected 1,295 adviser firms, of which 177 have been liquidated to date, and over 100,000 investors have justifiable claims which still continue in court today.
 
FCA Section 166 investigations, costing adviser firms in excess of £250,000, not only distract management and disrupt business but leave firms incurring significant additional costs to improve their processes, customer service levels and to meet the FCA’s compliance requirements.
 
Arch Cru and Keydata may have caught the headlines however they are not isolated incidents.
 
 

Fund name 

When was it suspended? 

How much money was held in the fund(s)? 

Four Elements Apollo 

2015

£80m

Axiom Legal Financing fund 

2012 

£120m 

Centurion Defined Return , Life Settlements fund and Argent Fund 

2011 

£180m 

CF Arch Cru Investment and Diversified Funds 

2009 

£363m 

Connaught Series 1 Income 

2012 

£118m 

EEA Life Settlements Fund 

2013 

£1.2bn 

Harlequin Property 

2013 

£400m 

LM Investment Management 

2013 

£500m 

Managing Partners Limited Traded Polices Fund 

2013 

£160m 

Mansion Student Accommodation 

2013 

£300m 

Strategic Growth 

2013 

£50m 

The Glanmore Property 

2009 

£214m 

Quadris Fixed Rate Distribution 

2011 

£144m 

 

See More

  • AAA Venture Fund SPC Ltd AAA Balanced Property Fund Segregated Portfolio Ofs (Fund Suspended)
  • Absolute Macro Diversified GBP Special Situation Shares Side Pocket (Fund Suspended)
  • Active Capital Trust Plc
  • Aequus Agarwood & Forestry Sub Fund (Fund Suspended)
  • All Seasons Special Purpose Vehicles Ltd – Class Absolute Return 1 (Fund Suspended)
  • All Seasons Special Purpose Vehicles Ltd – Class Absolute Return 2 (Fund Suspended)
  • Argent Fund SPC DMS Enhanced Restricted Class (Fund Suspended)
  • Argyle Principal Protected High Yield Managed Receivables Fund
  • Aria Absolute Income Protected Fund
  • Ashton Performance SPV
  • Axiom Legal Financing
  • Brandeaux Dual Asset Fund
  • Brandeaux Ground Rent Portfolio Limited Acc
  • Brandeaux Ground Rent Portfolio Plus Limited Acc (Suspended)
  • Brandeaux Student Accommodation Fund Sterling
  • Capita Financial Managers CF Arch Cru Finance Fund
  • Capita Financial Managers Cf Arch Cru Investment Portfolio
  • Capita Financial Managers CF Arch Cru Specialist Portfolio
  • Capricorn Fund Pcc Sterling Finance Fund
  • Capricorn Fund Pcc US Dollar Finance
  • Catalyst Arm Asset Backed Income Bond (10 Years)
  • Catalyst Arm Asset Backed Income Bond
  • Centurion Fnd Mgr Defined Rtn Side pocket
  • Centurion Fnd Mgrs Defined Rtn Gwth 2 side pocket
  • Centurion Fnd Mgrs Defined Rtn S 2 Side Pocket
  • Centurion Fund Managers Defined Return Capital Protect
  • Centurion Fund Managers Defined Return Growth 2
  • Centurion Fund Managers Defined Return Income
  • Centurion Fund Managers Defined Rtn Leveraged Growth 101
  • Centaur Litigation Fund
  • Close Brothers Growth Fund Sterling
  • Connaught Asset Management Diversified Strategic Land Fund Series 3
  • DR 2 Momentum All Weather Strategies II Fund
  • DR Momentum All Weather Strategies II Fund
  • Eden Rock Finance Master Limited 2008 Redemption Stock
  • Eden Rock Structured Finance Fund Class B
  • EEA Life Settlement
  • EEA Life Settlements II
  • Ermitage Asset Selection Fd Ltd DR
  • Exclusive Distribution Ltd Utopia Tlp Fund
  • Fairfax Fund Class A Non-Liquid 1
  • Fairfax Fund Class A Non-Liquid 2
  • Fairfax Fund Class A Non-Liquid 3
  • Fairfax Fund Class A Non-Liquid L
  • Forsyth Alternative
  • Four Elements Strategic Growth Plus
  • Four Element PCC Magma Fund
  • Four Elements PCC Apollo
  • Four Elements PCC Exigo Glbl Arbitrage
  • Genevacorp Funds North America
  • Global Mutual Fund PCC Limited RGTO Optimizer Fund
  • L&C Satellites Ltd Uk Real Estate I Acc Nav
  • Lancelot Pointhaven FX
  • Lernout & Hauspie Common Stock NPV
  • LM Australia Income Fund Currency Protected
  • LM Australia Income Protected GBP 2 Year
  • LM Australian Income CP Bond TRY 1 Year
  • LM Australian Income Fund – Currency Protected
  • LM Australian income Fund 5 Year TRY
  • LM Australian Income Fund Flexible 7 Day
  • LM Australian Income Fund GBP 5Y
  • LM Australian Income Fund USD Flexi Term
  • LM Australian Income GBP 3 Year
  • LM Australian Structured Product Fund GBP 12 Month Term
  • LM Australian Structured Product Fund Income
  • LM Capital Australian Structured Product Fund
  • LM Currency Protected 7 Day Flexi  Term
  • LM Currency Protected Australian Income Fd
  • LM Investment Management Managed Performance 12 Month
  • LM Managed Global Performance 3 Month Term
  • LM Managed Performance 12 Month
  • LM Managed Performance 24 Month
  • LM Managed Performance 36 Month
  • LM Managed Performance Fund  12 Months
  • LM Managed Performance Fund 2 Year
  • LM Managed Performance Fund 24 Month
  • LM Managed Performance Fund 4 Year
  • London & Capital Uk Real Estate
  • Louis Group Structured Fund A2 Off Louis Group Structured Fund A2
  • Louis Group Structured Fund A3 Louis Group Structured Fund A3
  • M3 Capital Asset Management Portfolio Solutions
  • M3 Capital Man Commercial Property Portfolio
  • Mansion Student Accommodation
  • Matrix Alternative Asset Based 2 Side Pockets
  • Melampus Managed Sterling Fund
  • Momentum Allweather DR2
  • MVP Funds of Funds Class S side pocket
  • Orion Litigation Fund (FROZEN)
  • Platinum Allweather Fund
  • Platinum Capital Management Global Dividend Fund Designated
  • Platinum Capital Management Platinum Equity Plus Fund
  • Platinum Trading Management All Weather Fund
  • Plexus Mauldin Global Alternative Strategies Fund
  • Policy Selection Assured
  • Porton Capital Ltd Porton Tech Science & Innovation
  • Porton Capital Ltd Science & Innovation B
  • Premier Property Options Fund Plc UK Residential Property Growth
  • Premier New Earth
  • Premier Low Risk
  • Private Client Portfolio Global Managed Balanced
  • Psigma Asset Man Psigma Io Defensive Equity Acc
  • Quadris Fixed Rate Distribution
  • Quadris Fixed Rate
  • RFC 2012 PLC
  • RGTO Global Property Fund
  • The Four Elements The Strategic Growth Fund Plus
  • The Glanmore Property
  • United Strategic Growth Fund GBP
  • Vinum Fine Wine Bordeaux First Growth Plus
  • Worldwide Mutual Fund PCC London Asset Man Alternative Asset Cls

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