The FCA has fined Macquarie Bank Limited - London Branch (MBL) £13m for serious failings that allowed one of its employees to rec...
CN Editor
November 28, 2024
FCA SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
FCA FINES FORMER AIRLINE EXECUTIVE FOR TRADING DURING CLOSED PERIODS AND FOR TRADE DISCLOSURE FAILURES
FCA FINDS CRYPTO OWNERSHIP CONTINUES TO RISE AS IT DELIVERS PLANS TO REGULATE CRYPTO
BARCLAYS DROPS FCA APPEAL, TAKES £40 MILLION FINE
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023