The FCA has published the second phase of its consultation on proposals for a measured increase in transparency about its enforce...
CN Editor
November 29, 2024
FCA FINDS FAILINGS AT SMALLER FIRMS
SEC OFF-CHANNEL COMMUNICATIONS SETTLEMENTS - SRO COLLATERAL CONSEQUENCES
CHALLENGE TO BCSC INVESTIGATION REVIVED ON APPEAL
FCA SEEKS FEEDBACK ON REGULATION OF CRYPTOASSET TRADING PLATFORMS IN NEXT PHASE OF ROAD TO REGULATION
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GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
EX-ADVISORY FIRM CEO LANDS IN PRISON
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION