The FCA and regulated firms have been taking steps to prepare in the event the UK leaves the EU on 31 October 2019 without a deal...
CN Editor
October 15, 2019
INDIVIDUAL CHARGED WITH INVESTMENT FRAUD OVER UNAUTHORISED MULTIMILLION POUND "KUBE TRADING" SCHEME
FCA CONFIRMS ANTI-GREENWASHING GUIDANCE AND PROPOSES EXTENDING SUSTAINABILITY FRAMEWORK
FCA LOOKS FOR MEMBERS FOR ITS ADVISORY COMMITTEE ON SECONDARY MARKETS
NEW WAY OF PAYING FOR INVESTMENT RESEARCH PROPOSED BY THE FINANCIAL REGULATOR
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS