Three traders have been fined and banned after the U.K.’s Upper Tribunal upheld the Financial Conduct Authority’s (FCA) findings ...
CN Editor
July 03, 2025
PWL CAPITAL ACQUIRES N.S. - BASED INDEPENDENT ADVISORY FIRM
QUESTRADE SECURES APPROVAL TO LAUNCH CANADA"S NEWEST BANK
MX FINDS BMO NESBITT BURNS ENGAGED IN FRONT RUNNING
FCA PUBLISHES REVIEW OF CONSOLIDATION IN FINANCIAL ADVICE AND WEALTH MANAGEMENT SECTOR
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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
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP