From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Tue, 03 Feb 2026 22:43:41 +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 CIRO issues interim guidance on digital asset custody https://www.investmentexecutive.com/news/ciro-issues-interim-guidance-on-digital-asset-custody/ Tue, 03 Feb 2026 21:58:28 +0000 https://www.investmentexecutive.com/?p=530979 Regulator lays out crypto custodian requirements based on a 4-tier system

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]]> Life agent refused licence, fined for misrepresentation https://www.investmentexecutive.com/news/life-agent-refused-licence-fined-for-misrepresentation/ Tue, 03 Feb 2026 20:01:57 +0000 https://www.investmentexecutive.com/?p=530957 Insurer reported agent and ended his contract in 2022

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]]> ESMA, ASIC face change at the top https://www.investmentexecutive.com/news/esma-asic-face-change-at-the-top/ Tue, 03 Feb 2026 19:24:10 +0000 https://www.investmentexecutive.com/?p=530964 Regulators in Europe, Australia welcoming new leaders

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]]> U.K. regulators aim to help firms scale up https://www.investmentexecutive.com/news/u-k-regulators-aim-to-help-firms-scale-up/ Tue, 03 Feb 2026 19:21:13 +0000 https://www.investmentexecutive.com/?p=530947 FCA, PRA to help first launch cohort of firms navigate growth challenges

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]]> Gamification that’s good for investors https://www.investmentexecutive.com/news/gamification-thats-good-for-investors/ Tue, 03 Feb 2026 18:08:02 +0000 https://www.investmentexecutive.com/?p=530943 OSC report highlights how games can encourage good decisions by investors

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]]> AI models can forecast, but their choices are flexible https://www.investmentexecutive.com/uncategorized/ai-models-can-forecast-but-their-choices-are-flexible/ Tue, 03 Feb 2026 15:06:57 +0000 https://www.investmentexecutive.com/?p=530869 Fed research uncovers AI models' decision-making tendencies

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]]> Fortress pair get five years, fined $24.4 million https://www.investmentexecutive.com/news/fortress-pair-get-five-years-fined-24-4-million/ Tue, 03 Feb 2026 14:21:55 +0000 https://www.investmentexecutive.com/?p=530892 Scheme targeted "mom and pop" investors, court said

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]]> Boiler room brokers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/boiler-room-brokers-plead-guilty/ Tue, 03 Feb 2026 13:00:03 +0000 https://www.investmentexecutive.com/?p=530846 Long-running scheme misled investors on stock markups, fees

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]]> FCAC fines BMO $4M for overcharging fees https://www.investmentexecutive.com/news/fcac-fines-bmo-4m-for-overcharging-fees/ Mon, 02 Feb 2026 19:33:26 +0000 https://www.investmentexecutive.com/?p=530833 Error went undetected despite over 500 complaints; affected more than 100,000 customers

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]]> The danger of personal dealings with clients https://www.investmentexecutive.com/news/from-the-regulators/the-danger-of-personal-dealings-with-clients/ Mon, 02 Feb 2026 13:01:55 +0000 https://www.investmentexecutive.com/?p=530768 Rep sanctioned in CIRO settlement, despite lack of harm

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