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London-based brokerage firm Sigma Broking was fined 531,000 pounds (U.S. $589,000) for failing to report certain transactions to the U.K. Financial Conduct Authority (FCA).
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
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