FCA bans three individuals over non-financial criminal convictions

FCA bans three individuals over non-financial criminal convictions

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Compliance

UK’s Investment Firms Prudential Regime – 1 January 2022 Implementation Announced

On 16 November 2020 HM Treasury plus the UK’s financial services regulators – the Prudential Regulation Authority and the Financial Conduct Authority – issued a joint statement in which they set a target date for implementation of the UK’s Investment Firms Prudential Regime (‘IFDR’) of 1 January 2022.

Cyber Security

FINRA ALERT – Phishing Campaign Targets SEC Registrants

On October 6, 2020, FINRA issued a Regulatory Notice warning member firms of a
widespread, ongoing phishing campaign that involves fraudulent emails purporting to be
from FINRA asking member firms to complete a survey.

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