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Violation Tracker Individual Record

Company: Janus Capital Management LLC
Current Parent Company: Janus Henderson
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Penalty: $100,000,000
Year: 2004
Date: August 18, 2004
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Mega-Scandal: Market Timing Abuses
Violation Description: Janus Capital Management LLC agreed to pay $100 million to settle allegations that it entered into undisclosed market timing agreements with certain investors.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: United Kingdom
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: investment management
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.