FCA sanctions inter-dealer broker for supervisory failings
Firm fined £15.4 million for its misconduct
- By: James Langton
- October 11, 2019 November 13, 2019
- 12:03
Firm fined £15.4 million for its misconduct
The department acknowledges there often isn't a tax motivation when doing so
New platform attempts to bridge the communication gap between underwriters and investors
The number of public-sector and self-employed workers is on the rise
Initiative to improve oversight of the financial sector through data collection was launched in 2009
Exchange introduces new "Green Economy Mark," sustainable bond market
MacAlpine brings a global perspective
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Firms in highest-risk categories must still adhere to stricter rules
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Tories pledge to introduce EI adoption leave benefits and increase the adoption tax credit
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The court granted the motion for leave concerning an alleged environmental misrepresentation in 2012
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Report calls for action on data gaps, surveillance, leverage
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Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
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Start with flexibility, tax efficiency, simplicity
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Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report
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