The former deputy chief executive officer of asset manager H2O AM LLP (H2O), Jean-Noel Alba, has been fined £1,049,500 by the FCA...
CN Editor
July 30, 2025
FCA ISSUES FINES OF NEARLY £46M FOR FAILURES MANAGING THE WOODFORD EQUITY INCOME FUND
BCSC ALLEGES U.S. COMPANY BREACHED CEASE TRADE ORDER
BCSC SANCTIONS KAZANA FINANCIAL FOR UNREGISTERED SECURITIES DEALING
SEC: Instead of retiring, rep ran a Ponzi scheme
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OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES - EXAM FEES
STEPHANE GAGNON SENTENCED TO FIVE YEARS AND ORDERED TO PAY OVER $7.75 MILLION
INVESTOR MISSES INVESTMENT OPPORTUNITY DUE TO FIRM"S MISCOMMUNICATION