Name: Aiden James Henderson

Name: Henderson Carter Associates Limited

Date of Birth: 2 / 6 / 1982

Date Order Starts: 15 / 12 / 2022

Disqualification Length: 10 Years 0 Month(s)

CRO Number: 07011381

Last Known Address: 35 Hipwell Court,, , , , OLNEY,, MK46 5QB

Conduct: Between January 2014 and 05 July 2015 Aiden James Henderson (“Mr Henderson”) failed to ensure that Henderson Carter Associates Limited (“HCA”) properly advised its clients on the transfer of their existing pensions into Self-Invested Personal Pensions (“SIPPs”), resulting in the Financial Service Compensation Scheme (“FSCS”) paying compensation totalling at least £1,074,137 to 137 clients: 9.1 HCA failed to clearly notify clients of the risk elements; full details of the captive insurance policy providing the ‘Capital Guarantee’ said to be offered by the recommended product and the timescales for early redemption. 9.2 HCA failed to ensure the suitability of the product, including the underlying investment, for its clients. 9.3 HCA disregarded the potential conflict of interest caused by the involvement of a third party in the design of the sales and advice process employed by HCA, despite this party having a financial interest in the outcome of the advice given to HCA’s clients. 9.4 Mr Henderson thereby exposed HCA to the risk of disciplinary action from the regulator and financial claims from clients. 

This information is correct as at 28 / 11 / 2022

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