Browse: Home / 2012 / August / 09 / FSA Goes After ‘Repeat Offender’ City Gate and its Compliance Officer for Poor Controls
By Securities Docket on August 9, 2012, 2:00 pm
FSA issues public censure of City Gate, bans compliance officer from holding any “Significant Influence Functions” after alleged continued failure to maintain adequate systems and controls.
via FSA Goes After ‘Repeat Offender’ City Gate and its Compliance Officer for Poor Controls – Compliance Week
Posted in Global, Industry, Top | Tagged Compliance