From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Fri, 20 Mar 2026 18:04:06 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 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 Broker-turned-finfluencer-turned-fraudster pleads guilty https://www.investmentexecutive.com/news/broker-turned-finfluencer-turned-fraudster-pleads-guilty/ Fri, 20 Mar 2026 18:04:06 +0000 https://www.investmentexecutive.com/?p=534421 Ex-rep posed as a successful trader online, duping investors

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]]> Appeal court upholds BCSC collection effort https://www.investmentexecutive.com/news/appeal-court-upholds-bcsc-collection-effort/ Fri, 20 Mar 2026 17:57:02 +0000 https://www.investmentexecutive.com/?p=534417 Payments from LIFs can face forfeiture, court finds

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]]> CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

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]]> Supreme Court denies leave in mutual fund case https://www.investmentexecutive.com/news/supreme-court-denies-leave-in-mutual-fund-case/ Thu, 19 Mar 2026 20:21:15 +0000 https://www.investmentexecutive.com/?p=534328 Appeal denied in tax case that called for strict securities law compliance

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]]> CSA to test semi-annual reporting for venture market https://www.investmentexecutive.com/news/csa-to-test-semi-annual-reporting-for-venture-market/ Thu, 19 Mar 2026 18:37:27 +0000 https://www.investmentexecutive.com/?p=534291 Pilot project could lead to broader shift to less frequent reporting

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]]> IOSCO seeks improved oversight of OTC markets https://www.investmentexecutive.com/news/iosco-seeks-improved-oversight-of-otc-markets-2/ Thu, 19 Mar 2026 16:24:51 +0000 https://www.investmentexecutive.com/?p=534288 Regulators flag risk of buildup of large, opaque trading positions

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]]> CFTC at the bat, in deal with MLB https://www.investmentexecutive.com/news/cftc-at-the-bat-in-deal-with-mlb/ Thu, 19 Mar 2026 16:11:55 +0000 https://www.investmentexecutive.com/?p=534284 Regulator reaches first MoU with a sports league to protect market integrity

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]]> Brokers to get US$100-million rebate: FINRA https://www.investmentexecutive.com/news/brokers-to-get-us100-million-rebate-finra/ Thu, 19 Mar 2026 14:29:59 +0000 https://www.investmentexecutive.com/?p=534221 SRO collected excess fees due to strong markets, trading revenue

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]]> FCA seeks faster response to growing cyber threat https://www.investmentexecutive.com/news/fca-seeks-faster-response-to-growing-cyber-threat/ Wed, 18 Mar 2026 17:33:28 +0000 https://www.investmentexecutive.com/?p=534173 New rules aim to make incident reporting easier, amid rising systemic risk

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]]> BCSC pursues disgorgement in long-running case https://www.investmentexecutive.com/news/bcsc-pursues-disgorgement-in-long-running-case/ Wed, 18 Mar 2026 17:12:54 +0000 https://www.investmentexecutive.com/?p=534177 Panel lifts stay, refines order in case that led to landmark ruling

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