FCA lists 15 cases where fines were levied in 2018. The total amount of fines is £60,467,212.
CN Editor
January 23, 2019
FIRM FAILED TO DISCLOSE HIGH COMMISSIONS: FCA
OSC RESPONDENT INDICTED IN U.S.
CIRO SANCTIONS FORMER BMO INVESTMENTS INC. REP FROM SQUAMISH, BC
FCA SECURES MAJORITY OF VICTIMS" MONEY BACK FROM CONVICTED FRAUDSTER
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS