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 SECURES RESTITUTION FOR FUND INVESTORS
FCA SUPPORTS TOKENISATION TO BOOST EFFICIENCY AND INNOVATION IN ASSET MANAGEMENT
DANIEL PUGH SENTENCED TO 7 AND A HALF YEARS IN PRISON FOR £1.3M PONZI SCHEME
BEWARE OF HIGH-RISK INVESTMENTS FROM UNREGULATED FIRMS
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS