Complaints | Investment Executive https://www.investmentexecutive.com/tag/complaints/ Canada's news source for financial professionals Fri, 20 Mar 2026 14:03:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Complaints | Investment Executive https://www.investmentexecutive.com/tag/complaints/ 32 32 CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

The post CIRO set to launch disgorgement payout program appeared first on Investment Executive.

]]> FCA consults on consumer redress reforms https://www.investmentexecutive.com/news/fca-consults-on-consumer-redress-reforms/ Tue, 17 Mar 2026 18:54:22 +0000 https://www.investmentexecutive.com/?p=534070 U.K. regulator seeks faster resolutions for clients, greater certainty for firms

The post FCA consults on consumer redress reforms appeared first on Investment Executive.

]]> FINRA launches consultation on arbitration https://www.investmentexecutive.com/news/finra-launches-consultation-on-arbitration/ Tue, 03 Mar 2026 14:17:45 +0000 https://www.investmentexecutive.com/?p=532995 Review will consider far-reaching reforms to dispute resolution mechanism

The post FINRA launches consultation on arbitration appeared first on Investment Executive.

]]> Latest OBSI review kicks off https://www.investmentexecutive.com/news/from-the-regulators/latest-obsi-review-kicks-off/ Mon, 02 Mar 2026 09:00:16 +0000 https://www.investmentexecutive.com/?p=532892 New evaluation comes amid regulators' ongoing reform work

The post Latest OBSI review kicks off appeared first on Investment Executive.

]]> FCA finalizes rules for new advice regime https://www.investmentexecutive.com/news/fca-finalizes-rules-for-new-advice-regime/ Fri, 27 Feb 2026 19:18:16 +0000 https://www.investmentexecutive.com/?p=532855 Targeted support services intended to combat advice gap

The post FCA finalizes rules for new advice regime appeared first on Investment Executive.

]]> New Brunswick bolsters investor protection https://www.investmentexecutive.com/news/new-brunswick-bolsters-investor-protection/ Wed, 28 Jan 2026 15:15:38 +0000 https://www.investmentexecutive.com/?p=530416 Bill raises enforcement penalties, enables binding dispute resolution

The post New Brunswick bolsters investor protection appeared first on Investment Executive.

]]> Crypto sector, meet conduct standards, ethical duties https://www.investmentexecutive.com/news/crypto-sector-meet-conduct-standards-ethical-duties/ Fri, 23 Jan 2026 19:34:05 +0000 https://www.investmentexecutive.com/?p=530141 FCA consults on latest phase of new rules for crypto firms

The post Crypto sector, meet conduct standards, ethical duties appeared first on Investment Executive.

]]> Ontario court blasts Binance’s legal tactics https://www.investmentexecutive.com/news/ontario-court-blasts-binances-legal-tactics/ Mon, 12 Jan 2026 22:09:01 +0000 https://www.investmentexecutive.com/?p=529173 Courts awards plaintiffs' costs, criticizes effort to force foreign arbitration

The post Ontario court blasts Binance’s legal tactics appeared first on Investment Executive.

]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

The post Speeding dispute resolution for older, ill investors appeared first on Investment Executive.

]]> Investors not getting fair value from CFDs: FCA https://www.investmentexecutive.com/news/from-the-regulators/investors-not-getting-fair-value-from-cfds-fca/ Thu, 13 Nov 2025 19:51:59 +0000 https://www.investmentexecutive.com/?p=525380 Firms falling short of regulator's expectations under investor duty

The post Investors not getting fair value from CFDs: FCA appeared first on Investment Executive.

]]>