Industry News

UK regulator fines UBS £29.7 million Fallback Image Decorative pattern

Industry

UK regulator fines UBS £29.7 million

Following the sentencing of ex-trader Kweku Adoboli last week, Britain's financial regulator fined UBS £29.7 million ($47.6 million).

By Wire services |November 26, 2012

1 min read

Help clients set realistic expectations Fallback Image Decorative pattern

Industry

Help clients set realistic expectations

When investing, leave emotion at the door.

By Christopher Hope |November 26, 2012

8 min read

Investors wary of internal audits: PwC Fallback Image Decorative pattern

Industry

Investors wary of internal audits: PwC

Investors expect auditors and their supporting committees to do more than perform detailed company reviews.

November 26, 2012

3 min read

Firms not meeting KYC requirements: OSC Fallback Image Decorative pattern

Industry

Firms not meeting KYC requirements: OSC

The OSC has released its 2012 annual summary report for dealers, advisors and fund managers.

By Staff |November 23, 2012

1 min read

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