In a settlement with the U.K.’s Financial Conduct Authority (FCA), European fund manager H2O AM LLP will pay €250 million to inve...
CN Editor
August 08, 2024
FCA WARNS INVESTORS IN CFDS RISK LOSING OUT ON PROTECTIONS
CONCERNS FOLLOW REGULATORS" SURVEY OF MUTUAL FUND REPS
INDIVIDUAL CONVICTED AND FINED FOR DATA PROTECTION BREACH
IA FINANCIAL"S ACQUISITION OF RF CAPITAL TO CLOSE THS WEEK
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
OSC SEEKS TO ENFORCE D&O SANCTIONS
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.