From the Regulators | Investment Executive https://www.investmentexecutive.com/news/from-the-regulators/ Canada's news source for financial professionals Fri, 06 Feb 2026 19:51:21 +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 Lawyer sanctioned in fake GIC scheme https://www.investmentexecutive.com/news/lawyer-sanctioned-in-fake-gic-scheme/ Fri, 06 Feb 2026 19:47:43 +0000 https://www.investmentexecutive.com/?p=531250 Trust account used in fraud, misappropriation, Law Society finds

The post Lawyer sanctioned in fake GIC scheme appeared first on Investment Executive.

]]> High court declines to hear Ponzi insurance case https://www.investmentexecutive.com/news/high-court-declines-to-hear-ponzi-insurance-case/ Fri, 06 Feb 2026 17:49:06 +0000 https://www.investmentexecutive.com/?p=531195 Policy failed to cover hedge fund investment that turned out to be a fraud

The post High court declines to hear Ponzi insurance case appeared first on Investment Executive.

]]> Pair ran massive market manipulation scheme: SEC https://www.investmentexecutive.com/news/pair-ran-massive-market-manipulation-scheme-sec/ Thu, 05 Feb 2026 20:24:40 +0000 https://www.investmentexecutive.com/?p=531185 Firm allegedly touted stocks on social media, while selling its holdings

The post Pair ran massive market manipulation scheme: SEC appeared first on Investment Executive.

]]> FINTRAC fines firms for compliance failings https://www.investmentexecutive.com/news/fintrac-fines-firms-for-compliance-failings/ Thu, 05 Feb 2026 20:07:28 +0000 https://www.investmentexecutive.com/?p=531191 Agency sanctions breaches of anti-money laundering rules

The post FINTRAC fines firms for compliance failings appeared first on Investment Executive.

]]> Investor class actions certified to allow settlement https://www.investmentexecutive.com/news/from-the-regulators/investor-class-actions-certified-to-allow-settlement/ Thu, 05 Feb 2026 09:00:14 +0000 https://www.investmentexecutive.com/?p=531083 Claims involve alleged misrepresentations by cannabis firm, underwriters

The post Investor class actions certified to allow settlement appeared first on Investment Executive.

]]> Ex-CEO pleads guilty in SPAC fraud case https://www.investmentexecutive.com/news/ex-ceo-pleads-guilty-in-spac-fraud-case/ Wed, 04 Feb 2026 17:21:54 +0000 https://www.investmentexecutive.com/?p=531046 Exec misled investors by inflating target's revenues to enable SPAC deal

The post Ex-CEO pleads guilty in SPAC fraud case appeared first on Investment Executive.

]]> Bankers sanctioned over plot to tank Qatari economy https://www.investmentexecutive.com/news/bankers-sanctioned-over-plot-to-tank-qatari-economy/ Wed, 04 Feb 2026 17:18:46 +0000 https://www.investmentexecutive.com/?p=531051 Tribunal upholds FCA decision, reduces bank's penalty

The post Bankers sanctioned over plot to tank Qatari economy appeared first on Investment Executive.

]]> 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

The post CIRO issues interim guidance on digital asset custody appeared first on Investment Executive.

]]> 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

The post Life agent refused licence, fined for misrepresentation appeared first on Investment Executive.

]]> 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

The post ESMA, ASIC face change at the top appeared first on Investment Executive.

]]>