FCA review finds an increase in workplace complaints
Exam division details compliance priorities for year ahead
Ratings dropped amid concerns about bank's risk management
ESMA promises transition oversight group to support move to faster settlement
Bank has flexibility to pivot, cushioning the impact of regulators' sanctions
Proxy voting policy survey highlights issues for upcoming AGM season
Investor alleges PACE securities sold without required disclosure while under FSRA administration
Regulator to embed ESG considerations into compliance, enforcement work
Regulatory order breach results in fine, disgorgement and a new ban
Trade group calls for tech-neutral, principles-based approach to regulation