Compliance | Investment Executive https://www.investmentexecutive.com/tag/compliance/ Canada's news source for financial professionals Thu, 29 Jan 2026 22:14:04 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 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 OSFI consults on regime for industry accountability https://www.investmentexecutive.com/news/osfi-consults-on-regime-for-industry-accountability/ Thu, 29 Jan 2026 22:14:04 +0000 https://www.investmentexecutive.com/?p=530675 Regulator seeks suitability standards for senior industry personnel

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]]> CIRO’s fund rep fee hike approved https://www.investmentexecutive.com/news/ciros-fund-rep-fee-hike-approved/ Thu, 29 Jan 2026 19:27:17 +0000 https://www.investmentexecutive.com/?p=530624 New $300 fee per rep set to take effect April 1

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]]> How firms can close the gaps on client-focused reforms https://www.investmentexecutive.com/news/how-firms-can-close-the-gaps-on-client-focused-reforms/ Thu, 29 Jan 2026 19:02:32 +0000 https://www.investmentexecutive.com/?p=530588 Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance

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]]> 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

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]]> U.K. regulator undertakes AI inquiry https://www.investmentexecutive.com/news/u-k-regulator-undertakes-ai-inquiry/ Tue, 27 Jan 2026 19:55:05 +0000 https://www.investmentexecutive.com/?p=530372 FCA review will examine expected impact of AI on retail financial markets

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]]> 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

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]]> Ex-banker pleads guilty in money laundering case https://www.investmentexecutive.com/news/ex-banker-pleads-guilty-in-money-laundering-case/ Thu, 22 Jan 2026 19:47:46 +0000 https://www.investmentexecutive.com/?p=530060 Accounts opened for shell companies to funnel money to Colombia

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]]> UBS sanctioned in settlement with MX https://www.investmentexecutive.com/news/ubs-sanctioned-in-settlement-with-mx/ Tue, 20 Jan 2026 20:53:37 +0000 https://www.investmentexecutive.com/?p=529847 Firm to pay $220,000 to resolve allegations of several rule breaches

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]]> ASIC review flags compliance issues in CFD sector https://www.investmentexecutive.com/news/asic-review-flags-compliance-issues-in-cfd-sector/ Tue, 20 Jan 2026 19:59:05 +0000 https://www.investmentexecutive.com/?p=529839 Aussie regulator reports A$40 million returned to investors as part of review

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]]> ESMA’s new anti-greenwashing guidance https://www.investmentexecutive.com/news/esmas-new-anti-greenwashing-guidance/ Wed, 14 Jan 2026 19:58:19 +0000 https://www.investmentexecutive.com/?p=529442 Regulator calls for greater clarity from industry on ESG strategies

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