FCA lists 15 cases where fines were levied in 2018. The total amount of fines is £60,467,212.
CN Editor
January 23, 2019
CIRO TO HOLD A SETTLEMENT HEARING FOR INDEPENDENT TRADING GROUP INC.
OSC ALLEGES AUDITING FAILURES BY KPMG IN CONNECTION WITH FOUR BRIDGING FINANCE INC. FUNDS
FCA FINES DINOSAUR MERCHANT BANK LIMITED FOR MARKET ABUSE SURVEILLANCE FAILURES
FCA SETS OUT NEXT PHASE OF SMARTER, MORE EFFECTIVE REGULATION
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
FORMER BROKER CHARGED IN "FREE RIDER" CASE
EX-ADVISOR CONVICTED OF RIPPING OFF NBA PLAYERS
THE PROPOSED ONTARIO LONG-TERM ASSET FUND PUTS INVESTORS AT RISK