The FCA has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relati...
CN Editor
February 07, 2019
FCA APPOINTS EXECUTIVE DIRECTORS TO CO-LEAD ENFORCEMENT AND MARKET OVERSIGHT
FCA PLACES RESTRICTION ON INDEPENDENTLY EAST LTD
FCA OUTLINES WHERE IMPROVEMENTS ARE NEEDED IN ESG BENCHMARKS
NEW SRO ALLEGES PFSL INVESTMENTS CANADA LTD REP USED ALTERED AND PRE-SIGNED ACCOUNT FORMS
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OSC TAKES HEAT FOR WHAT IT"S NOT PRIORITIZING
IT"S TIME TO MAKE REMOTE BRANCH INSPECTIONS PERMANENT
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OSC ALLOWED TO USE EVIDENCE COLLECTED IN CRIMINAL CASE, PANEL FINDS