The FCA has decided to fine Crispin Odey of Odey Asset Management LLP (OAM) £1.8m and ban him from the UK financial services indu...
CN Editor
March 18, 2025
FCA CENSURES INSTITUTE OF CERTIFIED BOOKKEEPERS FOR FAILINGS IN ANTI-MONEY LAUNDERING SUPERVISION
FCA SEEKS MORE CREDIBILITY FOR ESG RATINGS
MANITOBA REGULATOR UPHOLDS CIRO ENFORCEMENT RULINGS
FCA CHARGES TWO INDIVIDUALS WITH INSIDER DEALING
Thank you for the feedback!!
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