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 SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
CIRO SANCTIONS FORMER INVESTORS GROUP REP FROM WINNIPEG, MANITOBA
FCA FINES FORMER AIRLINE EXECUTIVE FOR TRADING DURING CLOSED PERIODS AND FOR TRADE DISCLOSURE FAILURES
MBL FINED £13M FOR SERIOUS CONTROL FAILURES THAT ALLOWED TRADER TO CONCEAL OVER 400 FICTITIOUS TRADES
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION