This marks the FCA"s first enforcement outcome against a professional body supervisor. The FCA has censured the Institute of Cert...
CN Editor
December 03, 2025
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
FCA SEEKS MORE CREDIBILITY FOR ESG RATINGS
FCA CHARGES TWO INDIVIDUALS WITH INSIDER DEALING
FCA COLLABORATES WITH INDUSTRY TO HELP SHAPE FUTURE OF UK"S CRYPTO MARKETS
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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
ADVISOR CHARGEBACKS ARE BAD FOR THE INDUSTRY