Alberta Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 15:09:36 +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 Alberta Securities Commission – Investment Executive https://www.investmentexecutive.com 32 32 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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]]> CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

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]]> ASC sanctions strip-mall developers https://www.investmentexecutive.com/news/from-the-regulators/asc-sanctions-strip-mall-developers/ Mon, 25 Mar 2024 16:53:55 +0000 https://www.investmentexecutive.com/?p=482657 Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found

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]]> Regulators keep savvy-investor exemption https://www.investmentexecutive.com/news/from-the-regulators/regulators-keep-savvy-investor-exemption/ Fri, 22 Mar 2024 20:29:19 +0000 https://www.investmentexecutive.com/?p=482618 After pilot program, ASC, FCAA maintain exemption based on financial knowledge

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]]> ASC dismisses enforcement allegations https://www.investmentexecutive.com/news/from-the-regulators/asc-dismisses-enforcement-allegations/ Fri, 08 Mar 2024 19:29:09 +0000 https://www.investmentexecutive.com/?p=481907 Regulator withdrew certain allegations, and a hearing panel rejected others

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]]> CSA expands ESG guidance for investment funds https://www.investmentexecutive.com/news/from-the-regulators/csa-expands-esg-guidance-for-investment-funds/ Thu, 07 Mar 2024 17:43:46 +0000 https://www.investmentexecutive.com/?p=481783 Regulators seek to combat fund industry greenwashing risks

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]]> CSA sets rules for crypto funds https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-rules-for-crypto-funds/ Thu, 18 Jan 2024 17:40:25 +0000 https://www.investmentexecutive.com/?p=478916 Regulators seek to codify initial investment restrictions, custody provisions

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]]> CSA adopts electronic access model for company prospectuses https://www.investmentexecutive.com/news/from-the-regulators/csa-adopts-electronic-access-model-for-company-prospectuses/ Thu, 11 Jan 2024 19:12:54 +0000 https://www.investmentexecutive.com/?p=478487 Move aims to reduce the burden of printing and mailing disclosures to investors

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]]> Serial fraudsman gets jail time https://www.investmentexecutive.com/news/from-the-regulators/serial-fraudsman-gets-jail-time/ Fri, 22 Dec 2023 15:53:13 +0000 https://www.investmentexecutive.com/?p=477818 Alberta man behind long-running scheme sentenced to four years

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]]> Financial, economic conditions top industry worries https://www.investmentexecutive.com/news/from-the-regulators/financial-economic-conditions-top-industry-worries/ Thu, 07 Dec 2023 18:48:00 +0000 https://www.investmentexecutive.com/?p=476847 CSA publishes systemic risk survey summary

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