Complaints – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Apr 2024 22:08:17 +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 Complaints – Investment Executive https://www.investmentexecutive.com 32 32 CIRO seeks stiffer enforcement sanctions https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-stiffer-enforcement-sanctions/ Thu, 18 Apr 2024 22:08:17 +0000 https://www.investmentexecutive.com/?p=484344 SRO proposes doubling maximum fines, toughening suspensions

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]]> Former fund rep fined, banned for fraud https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-for-fraud/ Thu, 18 Apr 2024 18:24:02 +0000 https://www.investmentexecutive.com/?p=484291 Retirees duped by fake investment for almost a decade, SRO finds

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]]> FSRA flags few issues at credentialing bodies https://www.investmentexecutive.com/news/from-the-regulators/fsra-flags-few-issues-at-credentialing-bodies/ Wed, 27 Mar 2024 20:51:18 +0000 https://www.investmentexecutive.com/?p=482849 Regulator reports results of first supervisory reviews at planner/advisor titling organizations

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]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

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]]> ESMA finalizes first set of crypto standards https://www.investmentexecutive.com/news/from-the-regulators/esma-finalizes-first-set-of-crypto-standards/ Mon, 25 Mar 2024 17:56:39 +0000 https://www.investmentexecutive.com/?p=482660 Regulators craft detailed standards to implement new crypto regime

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]]> Court green-lights funding for bank class actions https://www.investmentexecutive.com/news/from-the-regulators/court-green-lights-funding-for-bank-class-actions/ Tue, 05 Mar 2024 18:48:31 +0000 https://www.investmentexecutive.com/?p=481587 Four banks face lawsuits over duplicate NSF fees

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]]> AMF issues complaint handling rules https://www.investmentexecutive.com/news/from-the-regulators/amf-issues-complaint-handling-rules/ Wed, 28 Feb 2024 21:29:37 +0000 https://www.investmentexecutive.com/?p=481255 CIRO firms exempt from new standards for Quebec financial firms

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]]> FINRA revises arbitration rules https://www.investmentexecutive.com/news/from-the-regulators/finra-revises-arbitration-rules/ Wed, 07 Feb 2024 19:37:51 +0000 https://www.investmentexecutive.com/?p=480073 Changes come in the wake of independent review of SRO's arbitration program

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]]> U.S. investor advocates take aim at RIA arbitration https://www.investmentexecutive.com/news/from-the-regulators/u-s-investor-advocates-take-aim-at-ria-arbitration/ Fri, 02 Feb 2024 19:34:27 +0000 https://www.investmentexecutive.com/?p=479755 Firms use forced arbitration to discourage clients from pursuing complaints

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]]> JP Morgan to pay US$18 million over confidential settlements https://www.investmentexecutive.com/news/from-the-regulators/jp-morgan-to-pay-us18-million-over-confidential-settlements/ Tue, 16 Jan 2024 16:52:02 +0000 https://www.investmentexecutive.com/?p=478707 The SEC sanctioned the firm for violating whistleblower protections

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