The FCA placed on their website a letter addressed to the CEOs of all regulated firms to remind them of their responsibilities re...
CN Editor
January 11, 2019
FCA CONSULTS ON CRYPTO RULES
FINTECH EXECS ALLEGEDLY DUPED PRIVATE EQUITY FIRM
FCA CONFIRMS FINAL GUIDANCE TO TACKLE SERIOUS NON-FINANCIAL MISCONDUCT IN FINANCIAL SERVICES
FCA FINES NATIONWIDE £44M FOR FAILINGS IN FINANCIAL CRIME CONTROLS
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO SANCTIONS HAYWOOD SECURITIES INC. FOR SUPERVISION FAILURES
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON