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 CHARGES TWO INDIVIDUALS WITH INSIDER DEALING
FCA COLLABORATES WITH INDUSTRY TO HELP SHAPE FUTURE OF UK"S CRYPTO MARKETS
FCA TRANSACTION REPORTING PROPOSALS TO SAVE FIRMS £100M A YEAR
CFTC CHARGES TWO MEN, THEIR UNREGISTERED COMMODITY POOL WITH FUTURES FRAUD, REGISTRATION VIOLATIONS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP