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 APPOINTS EXECUTIVE DIRECTORS TO CO-LEAD ENFORCEMENT AND MARKET OVERSIGHT
ASC SANCTIONS PAUL ANTHONY OGILVIE FOR BREACHING ALBERTA SECURITIES LAWS
FCA PLACES RESTRICTION ON INDEPENDENTLY EAST LTD
CFTC REVOKES REGISTRATIONS OF ALLIANZ GLOBAL INVESTORS US LLC
Thank you for the feedback!!
OSC TAKES HEAT FOR WHAT IT"S NOT PRIORITIZING
IT"S TIME TO MAKE REMOTE BRANCH INSPECTIONS PERMANENT
TD BANK TO PAY US$1.2 BILLION TO SETTLE STANFORD PONZI SCHEME LAWSUIT
OSC ALLOWED TO USE EVIDENCE COLLECTED IN CRIMINAL CASE, PANEL FINDS