The former deputy chief executive officer of asset manager H2O AM LLP (H2O), Jean-Noel Alba, has been fined £1,049,500 by the FCA...
CN Editor
July 30, 2025
FCA SETS OUT LANDMARK PACKAGE TO BOOST UK INVESTMENT CULTURE
FCA CONSULTS ON REDUCING LATE FEES FOR REGULATORY RETURNS
FCA CENSURES INSTITUTE OF CERTIFIED BOOKKEEPERS FOR FAILINGS IN ANTI-MONEY LAUNDERING SUPERVISION
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
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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