From 9 December 2019, MIFID investment firms and optional exempt firms will need to use a new form to submit information to the F...
CN Editor
December 04, 2019
FCA CONSULTS ON REDUCING LATE FEES FOR REGULATORY RETURNS
FCA CENSURES INSTITUTE OF CERTIFIED BOOKKEEPERS FOR FAILINGS IN ANTI-MONEY LAUNDERING SUPERVISION
FCA SEEKS MORE CREDIBILITY FOR ESG RATINGS
FCA CHARGES TWO INDIVIDUALS WITH INSIDER DEALING
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING