Compliance | Investment Executive https://www.investmentexecutive.com/tag/compliance/ Canada's news source for financial professionals Tue, 03 Mar 2026 14:17:45 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Compliance | Investment Executive https://www.investmentexecutive.com/tag/compliance/ 32 32 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.

]]> Class action against FSRA over PACE dismissed https://www.investmentexecutive.com/news/class-action-against-fsra-over-pace-dismissed/ Mon, 02 Mar 2026 19:31:37 +0000 https://www.investmentexecutive.com/?p=532975 Court rejects theory that investor disclosure is required for share transfers

The post Class action against FSRA over PACE dismissed appeared first on Investment Executive.

]]> Troubled fintech secures creditor protection https://www.investmentexecutive.com/news/troubled-fintech-secures-creditor-protection/ Mon, 02 Mar 2026 17:05:16 +0000 https://www.investmentexecutive.com/?p=532941 Court appoints monitor, Bank of Canada amends compliance order for XTM Inc.

The post Troubled fintech secures creditor protection appeared first on Investment Executive.

]]> Big Six agree on third-party risk management compliance framework https://www.investmentexecutive.com/news/industry-news/big-six-agree-on-third-party-risk-management-compliance-framework/ Mon, 02 Mar 2026 16:51:36 +0000 https://www.investmentexecutive.com/?p=532733 CanDeal to help pilot common solution to cut duplicative administrative, compliance tasks

The post Big Six agree on third-party risk management compliance framework appeared first on Investment Executive.

]]> FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

The post FINRA raises annual limit on gifts appeared first on Investment Executive.

]]> ESMA highlights AI risks in algo trading https://www.investmentexecutive.com/news/esma-highlights-ai-risks-in-algo-trading/ Thu, 26 Feb 2026 20:39:47 +0000 https://www.investmentexecutive.com/?p=532718 Regulator issues guidance to beef up the supervision of automated trading

The post ESMA highlights AI risks in algo trading appeared first on Investment Executive.

]]> ASIC secures record penalties in second half of 2025 https://www.investmentexecutive.com/news/asic-secures-record-penalties-in-second-half-of-2025/ Wed, 25 Feb 2026 20:40:37 +0000 https://www.investmentexecutive.com/?p=532599 Regulator details enhanced enforcement outcomes

The post ASIC secures record penalties in second half of 2025 appeared first on Investment Executive.

]]> BMO, ex-trader sanctioned in front-running case https://www.investmentexecutive.com/news/bmo-ex-trader-sanctioned-in-front-running-case/ Wed, 25 Feb 2026 15:56:03 +0000 https://www.investmentexecutive.com/?p=532548 MX agrees to $289,000 in fines and costs ordered against firm, former trader

The post BMO, ex-trader sanctioned in front-running case appeared first on Investment Executive.

]]> SEC overhauls enforcement manual https://www.investmentexecutive.com/news/sec-overhauls-enforcement-manual/ Tue, 24 Feb 2026 19:41:50 +0000 https://www.investmentexecutive.com/?p=532503 Revisions aim to clarify, streamline certain enforcement practices

The post SEC overhauls enforcement manual appeared first on Investment Executive.

]]> Investor protection follows function, not form: ESMA https://www.investmentexecutive.com/news/investor-protection-follows-function-not-form-esma/ Tue, 24 Feb 2026 19:37:38 +0000 https://www.investmentexecutive.com/?p=532506 CFD rules may apply to other products, such as crypto derivatives, regs say

The post Investor protection follows function, not form: ESMA appeared first on Investment Executive.

]]>