FCA lists 15 cases where fines were levied in 2018. The total amount of fines is £60,467,212.
CN Editor
January 23, 2019
MONTREAL EXCHANGE SANCTIONS RBCDS FOR FAILURES IN REPORTING EFRP TRANSACTIONS
CIRO ALLEGES ADVISOR WITH RESEARCH CAPITAL IN CALGARY ENGAGED IN OFF-BOOK BUSINESS
FCA AND BANK OF ENGLAND SET OUT SHARED VISION FOR TOKENISATION IN UK WHOLESALE MARKETS
FINRA SANCTIONS FIRMS FOR PENNY STOCK OVERSIGHT
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HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
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JIMMY DELINIS PLEADS GUILTY IN $1.3 MILLION INVESTMENT SCHEME
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC