The review focused on groups acquiring financial advisers and wealth management firms. It examined how these groups manage risks...
CN Editor
November 03, 2025
FCA WARNS INVESTORS IN CFDS RISK LOSING OUT ON PROTECTIONS
INDIVIDUAL CONVICTED AND FINED FOR DATA PROTECTION BREACH
IA FINANCIAL"S ACQUISITION OF RF CAPITAL TO CLOSE THS WEEK
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS