The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to con...
CN Editor
October 15, 2019
FCA LEADS FIRST CRACKDOWN ON ILLEGAL CRYPTO TRADING
FCA ANNOUNCES SECOND COHORT FOR AI LIVE TESTING
FCA INTRODUCES CLEARER AND SIMPLER SHORT SELLING RULES
FCA FINES DINOSAUR MERCHANT BANK LIMITED FOR MARKET ABUSE SURVEILLANCE FAILURES
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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