Complaints | Investment Executive https://www.investmentexecutive.com/tag/complaints/ Canada's news source for financial professionals Thu, 13 Nov 2025 19:51:59 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 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

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]]> ASIC targets private credit for enforcement https://www.investmentexecutive.com/news/asic-targets-private-credit-for-enforcement/ Wed, 12 Nov 2025 21:31:41 +0000 https://www.investmentexecutive.com/?p=525283 Regulator details enforcement priorities for the year ahead

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]]> Complaint confidentiality in the public interest https://www.investmentexecutive.com/news/complaint-confidentiality-in-the-public-interest/ Thu, 09 Oct 2025 17:12:56 +0000 https://www.investmentexecutive.com/?p=522325 IPC upholds FSRA decision to protect identity of complainant

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]]> What to expect when filing on ComSet https://www.investmentexecutive.com/news/what-to-expect-when-filing-on-comset/ Mon, 06 Oct 2025 21:15:18 +0000 https://www.investmentexecutive.com/?p=522016 CIRO issues new guidance on complaint filing requirements

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/from-the-regulators/fca-consults-on-crypto-rules-2/ Wed, 17 Sep 2025 20:11:17 +0000 https://www.investmentexecutive.com/?p=520489 U.K. regulator's proposals consider operational, conduct standards for emerging sector

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]]> CSA extends OBSI consultation deadline https://www.investmentexecutive.com/news/from-the-regulators/csa-extends-obsi-consultation-deadline/ Thu, 04 Sep 2025 20:15:41 +0000 https://www.investmentexecutive.com/?p=518844 Industry, investors have until Sept. 29 to provide feedback on reforms to give body binding powers

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]]> FCA seeks dispute resolution reforms https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-dispute-resolution-reforms/ Thu, 17 Jul 2025 18:03:42 +0000 https://www.investmentexecutive.com/?p=515486 Improving handling of systemic issues aims to prevent delays in compensation, enhance industry certainty

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]]> CSA refines plan for binding authority at OBSI https://www.investmentexecutive.com/news/from-the-regulators/csa-refines-plan-for-binding-authority-at-obsi/ Tue, 15 Jul 2025 15:00:00 +0000 https://www.investmentexecutive.com/?p=515221 Regulators set out proposed approach to oversight, external reviews

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]]> Regulated crypto firms face ‘halo effect’ risk: ESMA https://www.investmentexecutive.com/news/from-the-regulators/regulated-crypto-firms-face-halo-effect-risk-esma/ Fri, 11 Jul 2025 18:02:04 +0000 https://www.investmentexecutive.com/?p=515039 Investors could be confused by firms selling regulated and unregulated products side by side, regulators warn

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]]> CIRO tackles the dreaded account transfer problem https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackles-the-dreaded-account-transfer-problem/ Thu, 10 Jul 2025 16:26:29 +0000 https://www.investmentexecutive.com/?p=514965 SRO proposes rule changes, calls for an industry-wide technological solution

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