A review of trading commission expenditures by U.K. investment managers reveals poor practices are still common in the industry
March is Fraud Prevention Month in Canada
The proposals aim to bolster the availability of independent research and enhancing the information that investors receive
Regulators in Ontario and the U.K. are aiming to ease the path for fintech firms to expand to each other’s markets
The U.K. regulator will be looking at a host of issues as well as potential enhancements to ensure markets meet the needs of issuers and investors
Although illiquid assets provide mutual fund investors with benefits, these holdings can pose problems if redemption demand spikes unexpectedly
The FCA’s and PRA’s changes are designed to enhance transparency for firms and individuals under investigation
The serious failings in Deutsche Bank’s AML controls allowed billions to be transferred from Russia to offshore accounts via the bank
The FCA is considering making certain terms of professional indemnity insurance mandatory and updating limits on consumer coverage
The regulator has found it difficult for investors to compare crowdfunding platforms with each other and with other asset classes