From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Fri, 27 Feb 2026 20:07:20 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

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]]> FCA finalizes rules for new advice regime https://www.investmentexecutive.com/news/fca-finalizes-rules-for-new-advice-regime/ Fri, 27 Feb 2026 19:18:16 +0000 https://www.investmentexecutive.com/?p=532855 Targeted support services intended to combat advice gap

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]]> Vanguard settles U.S. states’ anti-ESG suit https://www.investmentexecutive.com/news/vanguard-settles-u-s-states-anti-esg-suit/ Fri, 27 Feb 2026 18:08:51 +0000 https://www.investmentexecutive.com/?p=532842 Firm agrees to proxy voting changes, US$29.5 million payment, to end case

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]]> ESMA highlights AI risks in algo trading https://www.investmentexecutive.com/news/esma-highlights-ai-risks-in-algo-trading/ Thu, 26 Feb 2026 20:39:47 +0000 https://www.investmentexecutive.com/?p=532718 Regulator issues guidance to beef up the supervision of automated trading

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]]> SEC settles IR guy’s false Buffett claim https://www.investmentexecutive.com/news/sec-settles-ir-guys-false-buffett-claim/ Thu, 26 Feb 2026 20:28:16 +0000 https://www.investmentexecutive.com/?p=532710 Scheme to boost stock price claimed that Berkshire bought insurer's stock

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]]> SEC sanctions firm’s pandemic loan pricing https://www.investmentexecutive.com/news/sec-sanctions-firms-pandemic-loan-pricing/ Thu, 26 Feb 2026 15:16:56 +0000 https://www.investmentexecutive.com/?p=532607 Firm failed to adjust loan pricing to reflect impact of market turmoil

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]]> Crypto fund manager faces U.S. tax charges https://www.investmentexecutive.com/news/crypto-fund-manager-faces-u-s-tax-charges/ Wed, 25 Feb 2026 20:50:07 +0000 https://www.investmentexecutive.com/?p=532603 Authorities allege fund manager hid income, assets before exiting U.S.

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]]> ASIC secures record penalties in second half of 2025 https://www.investmentexecutive.com/news/asic-secures-record-penalties-in-second-half-of-2025/ Wed, 25 Feb 2026 20:40:37 +0000 https://www.investmentexecutive.com/?p=532599 Regulator details enhanced enforcement outcomes

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]]> ESMA consults on avoiding groupthink at financials https://www.investmentexecutive.com/news/esma-consults-on-avoiding-groupthink-at-financials/ Wed, 25 Feb 2026 20:36:23 +0000 https://www.investmentexecutive.com/?p=532589 Regulators review suitability guidance for industry management

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]]> BMO, ex-trader sanctioned in front-running case https://www.investmentexecutive.com/news/bmo-ex-trader-sanctioned-in-front-running-case/ Wed, 25 Feb 2026 15:56:03 +0000 https://www.investmentexecutive.com/?p=532548 MX agrees to $289,000 in fines and costs ordered against firm, former trader

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