The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for...
CN Editor
May 31, 2019
FCA FINES ARIAN FINANCIAL LLP £288,962.53 FOR FAILINGS RELATING TO CUM-EX TRADING
COURTS MAKING LITTLE USE OF RESTITUTION ORDERS
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
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NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.