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 FINALIZES ESG RATINGS RULES
FCA CALLS ON PRIVATE MARKET FIRMS TO MANAGE CONFLICTS OF INTEREST IN LINE WITH RAPID GROWTH
FCA RESTRICTS 6 FIRMS FOLLOWING CONCERNS OVER ANTI-MONEY LAUNDERING CONTROLS
FORMER CHIEF EXECUTIVE BANNED AFTER MISCONDUCT LED TO £4M LOSSES IN HIGH-RISK INVESTMENTS
Thank you for the feedback!!
OSC FLAGS ISSUES WITH INDUSTRY AI USE
NEW WEALTH GROUP LAUNCHES PM BUSINESS COMBINING 4 FIRMS
CIRO ALLEGES GATEKEEPER FAILURES BY CANACCORD GENUITY REP FROM CALGARY, AB
AMEX SANCTIONED FOR AML FAILINGS