In September 2022, the FCA sent a portfolio letter to benchmark administrators where they highlighted the risk of poor disclosure...
CN Editor
March 21, 2023
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
OSC SME INSTITUTE ANNOUNCES WEBINAR ON STANDARDS OF DISCLOSURE FOR MINERAL PROJECTS COMPLIANCE
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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