Investment Executive AM newsletter

Monday July 12, 2021
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Ellen Bessner
Why care about changes to regulations?
Three questions to ask to protect yourself and your business
July 9, 2021

From the Regulators
Ex-Bridging Finance CEO seeks to upend OSC investigation
David Sharpe alleges the regulator improperly disclosed evidence obtained in compelled testimony
July 9, 2021

From the Regulators
TheBull sold inside info on the dark web, U.S. authorities allege
Man charged for allegedly selling brokerage data, unreleased earnings info in shadowy online markets
July 9, 2021

From the Regulators
Proposed investor settlement reached in PACE case
The proposed $40-million deal requires approval at a July 30 court hearing
July 9, 2021

Products
Morningstar launches tool to help frame clients' risk tolerance
Investors can see how well their risk expectations match up with the risk profiles of their portfolios
July 9, 2021

From the Regulators
B.C. to launch single regulator for financial sector on Aug. 1
Real estate regulators to be rolled into BCFSA
July 9, 2021

From the Regulators
FINRA seeks insight on brokers' crypto dealings
July 9, 2021

Research and Markets
Cooperation needed for cross-border CBDCs
July 9, 2021

Appointment Notices
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