Firm violated securities rules by breaching concentration limits, misleading investors
Egan-Jones, founder, fined in settlements with regulators
Rep violated MFDA rules, OSC rules and firm's policies, panel finds
Trade group unhappy with market controls, cancelled trades
Sweeping compliance review finds issues with fund industry charging practices
ESMA aims to boost protections against emerging risks such as gamification
BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes
Regulator details its compliance review priorities for the year ahead
Fund manager fined £9.1 million for failing to oversee gifts and perks
Deals are likely to dry up as regulation tightens, a report says