From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Fri, 09 Jan 2026 19:58:24 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ 32 32 A bit of good news for Bridging investors https://www.investmentexecutive.com/news/a-bit-of-good-news-for-bridging-investors/ Fri, 09 Jan 2026 19:58:24 +0000 https://www.investmentexecutive.com/?p=529028 Adjudicator rejects $213M claim against Bridging flagship fund

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]]> Former fund rep fined, banned in used car scheme https://www.investmentexecutive.com/news/former-fund-rep-fined-banned-in-used-car-scheme/ Fri, 09 Jan 2026 17:30:52 +0000 https://www.investmentexecutive.com/?p=529018 Investors lost $9.8M on investment that turned out to be a fraud

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]]> Court denies broker injunction against insurer https://www.investmentexecutive.com/news/court-denies-broker-injunction-against-insurer/ Thu, 08 Jan 2026 21:41:21 +0000 https://www.investmentexecutive.com/?p=528937 Preventing communication with clients could harm regulatory compliance

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]]> FINRA seeks ‘speed bumps’ to guard against fraud https://www.investmentexecutive.com/news/finra-seeks-speed-bumps-to-guard-against-fraud/ Thu, 08 Jan 2026 21:28:44 +0000 https://www.investmentexecutive.com/?p=528908 SRO proposes added measures to protect investors from exploitation

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]]> Europe adding ESG risks to industry stress testing https://www.investmentexecutive.com/news/europe-adding-esg-risks-to-industry-stress-testing/ Thu, 08 Jan 2026 18:50:36 +0000 https://www.investmentexecutive.com/?p=528905 New guidance sets standards for emerging supervisory exercises

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]]> Ex-TD banker pleads guilty in money laundering case https://www.investmentexecutive.com/news/ex-td-banker-pleads-guilty-in-money-laundering-case/ Wed, 07 Jan 2026 19:16:15 +0000 https://www.investmentexecutive.com/?p=528859 Bank manager processed US$92 million worth of transactions for ring

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]]> Court approves CIBC trailer fee settlement https://www.investmentexecutive.com/news/court-approves-cibc-trailer-fee-settlement/ Wed, 07 Jan 2026 19:10:02 +0000 https://www.investmentexecutive.com/?p=528849 Class action brought on behalf of full-service clients with funds that paid trailers

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]]> The banker, the brothers, the friends and their frauds https://www.investmentexecutive.com/news/the-banker-the-brothers-the-friends-and-their-frauds/ Wed, 07 Jan 2026 15:05:45 +0000 https://www.investmentexecutive.com/?p=528817 SEC, DoJ charge six in market manipulation, insider trading schemes

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]]> Advisor title regulation in effect for New Brunswick https://www.investmentexecutive.com/news/advisor-title-regulation-in-effect-for-new-brunswick/ Tue, 06 Jan 2026 21:29:53 +0000 https://www.investmentexecutive.com/?p=528808 Credential requirements are being phased in over the next few years

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]]> Advisor’s notes inadmissible, court finds https://www.investmentexecutive.com/news/advisors-notes-inadmissible-court-finds/ Tue, 06 Jan 2026 21:12:32 +0000 https://www.investmentexecutive.com/?p=528800 Notes must meet two-part test to count as evidence

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