The U.K.’s Financial Conduct Authority (FCA) and the U.K. Financial Ombudsman Service are proposing a series of reforms to modern...
CN Editor
July 21, 2025
FINTECH EXECS ALLEGEDLY DUPED PRIVATE EQUITY FIRM
FCA CONFIRMS FINAL GUIDANCE TO TACKLE SERIOUS NON-FINANCIAL MISCONDUCT IN FINANCIAL SERVICES
FCA FINES NATIONWIDE £44M FOR FAILINGS IN FINANCIAL CRIME CONTROLS
FSRA REVOKES LICENCE OF INSURANCE AGENT FOR ALLEGEDLY MISAPPROPRIATING $700K FROM CHURCH MEMBERS
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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