The FCA fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities. SLAL fai...
CN Editor
July 24, 2019
U.K. REGULATORS TO INTENSIFY OVERSIGHT OF OUTSOURCING
TRIBUNAL CALMS SRO WORRIES ABOUT ENFORCEMENT DISCLOSURE
FCA SEEKS VIEWS ON REGULATORY APPROACH FOR OVERSEAS FUNDS
PERSONAL INVESTMENT FIRMS THAT GIVE BAD ADVICE TO HOLD CAPITAL FOR REDRESS
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A PERFECT STORM LIES AHEAD FOR ADVISORS AND DEALERS
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FINTRAC PUBLISHES ITS 2022-23 ANNUAL REPORT, SAFE CANADIANS, SECURE ECONOMY
CIRO SANCTIONS POLLITT & CO. INC. FOR INTERNAL CONTROL VIOLATIONS