Citing concerns about their ability to deal with systemic financial industry failings, the U.K.’s Financial Conduct Authority (FC...
CN Editor
November 18, 2024
BRIDGING INVESTORS MAY FINALLY SEE SOME MONEY
FCA SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
FCA FINES FORMER AIRLINE EXECUTIVE FOR TRADING DURING CLOSED PERIODS AND FOR TRADE DISCLOSURE FAILURES
MBL FINED £13M FOR SERIOUS CONTROL FAILURES THAT ALLOWED TRADER TO CONCEAL OVER 400 FICTITIOUS TRADES
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION