From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Fri, 10 Apr 2026 20:33:32 +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 OSC seeks settlement with ATS over trade controls https://www.investmentexecutive.com/news/osc-seeks-settlement-with-ats-over-trade-controls/ Fri, 10 Apr 2026 20:33:32 +0000 https://www.investmentexecutive.com/?p=536100 Tribunal to consider settlement with Liquidnet over allegedly faulty controls

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]]> Adjudicator in OSC vs. Purpose case steps down https://www.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

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]]> Issuers start moving to semi-annual reporting https://www.investmentexecutive.com/news/issuers-start-moving-to-semi-annual-reporting/ Thu, 09 Apr 2026 21:11:22 +0000 https://www.investmentexecutive.com/?p=535961 Venture companies begin opting for less frequent reporting

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]]> Insider rules apply to single-stock vehicles: CSA https://www.investmentexecutive.com/news/insider-rules-apply-to-single-stock-vehicles-csa/ Thu, 09 Apr 2026 21:06:44 +0000 https://www.investmentexecutive.com/?p=535929 Proposal to clarify that reporting rules apply to unitary ETFs, CDRs, notes

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]]> Ontario tribunal bans B.C. man under U.S. sanctions https://www.investmentexecutive.com/news/ontario-tribunal-bans-b-c-man-under-u-s-sanctions/ Thu, 09 Apr 2026 18:32:47 +0000 https://www.investmentexecutive.com/?p=535905 SEC alleged Canadian involved in penny stock pump-and-dump scheme

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]]> Supreme Court denies leave for rep’s challenge https://www.investmentexecutive.com/news/supreme-court-denies-leave-for-reps-challenge/ Thu, 09 Apr 2026 16:38:33 +0000 https://www.investmentexecutive.com/?p=535878 BCSC enforcement hearing set to resume next month

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]]> SEC names new enforcement chief https://www.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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]]> SEC sanctions FTX audit lead https://www.investmentexecutive.com/news/sec-sanctions-ftx-audit-lead/ Thu, 09 Apr 2026 14:27:47 +0000 https://www.investmentexecutive.com/?p=535872 Auditors failed to understand relationship between FTX, hedge fund: regulator

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]]> Ex-advisor lands in jail for Ponzi scheme https://www.investmentexecutive.com/news/ex-advisor-lands-in-jail-for-ponzi-scheme/ Wed, 08 Apr 2026 21:07:36 +0000 https://www.investmentexecutive.com/?p=535837 Millions misappropriated over 20-year period

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]]> CIRO seeks to tackle persistent policy challenges https://www.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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