Securities and Exchange Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Apr 2024 18:03:13 +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 Securities and Exchange Commission – Investment Executive https://www.investmentexecutive.com 32 32 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

The post Precious metals scammers sanctioned appeared first on Investment Executive.

]]> 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

The post Advisors face new U.S. fiduciary requirements appeared first on Investment Executive.

]]> Crypto manipulator convicted https://www.investmentexecutive.com/news/from-the-regulators/crypto-manipulator-convicted/ Fri, 19 Apr 2024 18:16:45 +0000 https://www.investmentexecutive.com/?p=484431 Trader defrauded platform of over US$110 million in novel market manipulation

The post Crypto manipulator convicted appeared first on Investment Executive.

]]> SEC pauses climate rule amid legal challenges https://www.investmentexecutive.com/news/from-the-regulators/sec-pauses-climate-rule-amid-legal-challenges/ Fri, 05 Apr 2024 16:03:22 +0000 https://www.investmentexecutive.com/?p=483241 The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit

The post SEC pauses climate rule amid legal challenges appeared first on Investment Executive.

]]> SEC sanctions advisory firm for private messaging https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-advisory-firm-for-private-messaging/ Thu, 04 Apr 2024 18:39:57 +0000 https://www.investmentexecutive.com/?p=483140 Off-channel communications hamper regulatory oversight

The post SEC sanctions advisory firm for private messaging appeared first on Investment Executive.

]]> SEC tightens robo exemption https://www.investmentexecutive.com/news/from-the-regulators/sec-tightens-robo-exemption/ Wed, 27 Mar 2024 17:52:48 +0000 https://www.investmentexecutive.com/?p=482831 Regulator aims to bolster investor protection, modernize rules

The post SEC tightens robo exemption appeared first on Investment Executive.

]]> SEC alleges advisers engaged in AI-washing https://www.investmentexecutive.com/news/from-the-regulators/sec-alleges-advisers-engaged-in-ai-washing/ Tue, 19 Mar 2024 17:05:20 +0000 https://www.investmentexecutive.com/?p=482302 Firms allegedly made misleading statements about their use of AI in investing strategies

The post SEC alleges advisers engaged in AI-washing appeared first on Investment Executive.

]]> SEC sanctions bankrupt crypto lender https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-bankrupt-crypto-lender/ Tue, 19 Mar 2024 16:58:00 +0000 https://www.investmentexecutive.com/?p=482312 Crypto lending program amounted to unregistered securities offering, regulator charged

The post SEC sanctions bankrupt crypto lender appeared first on Investment Executive.

]]> U.S. DOJ plans to pay whistleblower awards https://www.investmentexecutive.com/news/from-the-regulators/u-s-doj-plans-to-pay-whistleblower-awards/ Fri, 08 Mar 2024 13:35:48 +0000 https://www.investmentexecutive.com/?p=481861 Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

The post U.S. DOJ plans to pay whistleblower awards appeared first on Investment Executive.

]]> 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

The post CSA expands ESG guidance for investment funds appeared first on Investment Executive.

]]>