In July, the FCA changed their rules – setting clearer standards for how financial services firms should address non-financial mi...
CN Editor
December 15, 2025
FCA FINES NATIONWIDE £44M FOR FAILINGS IN FINANCIAL CRIME CONTROLS
CSA AND CIRO PROVIDE GUIDANCE FOR FINFLUENCERS AND FIRMS ON HOW TO WORK WITH THEM AND PROTECT INVESTORS
FCA LAUNCHES FIRM CHECKER TO FIGHT FINANCIAL CRIME
FCA CONSULTS ON FUND LIQUIDITY REFORMS
Thank you for the feedback!!
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