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 LEADS FIRST CRACKDOWN ON ILLEGAL CRYPTO TRADING
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO SANCTIONS PFSL INVESTMENTS CANADA LTD. FOR SUPERVISORY FAILURES
FCA ANNOUNCES SECOND COHORT FOR AI LIVE TESTING
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS