An MFDA Hearing Panel approved a settlement with Patrick Hugh Lumbers (“Lumbers”), a mutual fund salesperson with Investors Group...
CN Editor
March 27, 2019
ESMA CONSULTS ON AVOIDING GROUPTHINK AT FINANCIALS
CFTC ENFORCEMENT DIVISION ISSUES PREDICTION MARKETS ADVISORY
CIRO SANCTIONS HAMPTON SECURITIES LTD AND PETER MICHAEL DEEB FOR TRADING MISCONDUCT
EUROPE"S NEW AML COP LAUNCHES CONSULTATIONS
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THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
CIRO NEEDS TO STOP SAYING "SHOULD"