The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malco...
CN Editor
November 19, 2019
FCA PUBLISHES REVIEW OF CONSOLIDATION IN FINANCIAL ADVICE AND WEALTH MANAGEMENT SECTOR
FCA WARNS INVESTORS IN CFDS RISK LOSING OUT ON PROTECTIONS
INDIVIDUAL CONVICTED AND FINED FOR DATA PROTECTION BREACH
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS