From the Regulators – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Apr 2024 21:22:14 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 Toronto police bust fake investment scheme https://www.investmentexecutive.com/news/from-the-regulators/toronto-police-bust-fake-investment-scheme/ Fri, 26 Apr 2024 21:22:14 +0000 https://www.investmentexecutive.com/?p=484853 Perpetrators posing as representatives of Schroders, an asset manager

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]]> Precious metals scammers sanctioned https://www.investmentexecutive.com/news/from-the-regulators/precious-metals-scammers-sanctioned/ Fri, 26 Apr 2024 18:03:13 +0000 https://www.investmentexecutive.com/?p=484819 Elderly investors duped into converting retirement savings into overpriced coins

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]]> CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> FSB adopts standards for counterparty failures https://www.investmentexecutive.com/news/from-the-regulators/fsb-adopts-standards-for-counterparty-failures/ Thu, 25 Apr 2024 17:58:37 +0000 https://www.investmentexecutive.com/?p=484768 Global policy group calls for toolbox approach to CCP resolution

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]]> Fund costs fell after CRM2 https://www.investmentexecutive.com/news/from-the-regulators/fund-costs-fell-after-crm2/ Thu, 25 Apr 2024 15:05:56 +0000 https://www.investmentexecutive.com/?p=484748 CSA research details the evolution of fund costs in the face of transparency reforms

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]]> Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> Tribunal asked to pause OSC’s Bridging case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-asked-to-pause-oscs-bridging-case/ Wed, 24 Apr 2024 16:49:00 +0000 https://www.investmentexecutive.com/?p=484673 Lawyers for firm's founder seek adjournment amid unpaid legal bills

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]]> Nature, workforce risks next on ISSB’s agenda https://www.investmentexecutive.com/news/from-the-regulators/nature-workforce-risks-next-on-issbs-agenda/ Tue, 23 Apr 2024 18:39:28 +0000 https://www.investmentexecutive.com/?p=484596 Standards setter defines its policy direction beyond climate disclosures

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> Court certifies crypto class action against Binance https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-crypto-class-action-against-binance/ Mon, 22 Apr 2024 18:06:31 +0000 https://www.investmentexecutive.com/?p=484473 Suit alleges that retail investor trades violated securities law

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