The FCA has fined the London Metal Exchange (LME) £9.2 million for failing to ensure its systems and controls were adequate to de...
CN Editor
March 21, 2025
TWENTY-FOUR CFD FIRMS CLOSING IN CRACKDOWN ON MISUSE OF UK AUTHORISATION
CIRO ALLEGES HARBOURFRONT WEALTH MANAGEMENT REP FAILED TO USE DUE DILIGENCE TO ENSURE INVESTMENT RECOMMENDATIONS WERE SUITABLE FOR CLIENTS
FCA AND PARTNERS CONTINUES CRACKDOWN ON ILLEGAL CRYPTO TRADING
CRYPTO FIRMS GET GUIDANCE ON HOW THE NEW REGIME APPLIES
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
WHY MUTUAL FUND ADVISORS AREN"T MOVING TO INVESTMENT DEALERS IN DROVES YET
TOP COURT DECLINES TO HEAR APPEAL IN OSC CASE