The FCA has prohibited former Martins Brokers (UK) Ltd (‘Martins’) broker Terry Farr from performing any function in relation to ...
CN Editor
May 30, 2019
FINANCIAL REGULATOR TO SIMPLIFY INVESTMENT DISCLOSURE REGIME
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
FCA SETS LANDMARK CRYPTO RULES TO CEMENT THE UK"S PLACE AS A GLOBAL HUB
FCA CONSULTS ON TARGETED CHANGES TO LISTING RULES FOR CLOSED-ENDED INVESTMENT FUND
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS