The Financial Conduct Authority (FCA) has today published the complaints figures for regulated firms for the first half of 2019. ...
CN Editor
October 18, 2019
FCA SECURES RESTITUTION FOR FUND INVESTORS
FCA SUPPORTS TOKENISATION TO BOOST EFFICIENCY AND INNOVATION IN ASSET MANAGEMENT
COMPLAINT CONFIDENTIALITY IN THE PUBLIC INTEREST
DANIEL PUGH SENTENCED TO 7 AND A HALF YEARS IN PRISON FOR £1.3M PONZI SCHEME
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS