Compliance | Investment Executive https://www.investmentexecutive.com/tag/compliance/ Canada's news source for financial professionals Thu, 08 Jan 2026 21:41:21 +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 Court denies broker injunction against insurer https://www.investmentexecutive.com/news/court-denies-broker-injunction-against-insurer/ Thu, 08 Jan 2026 21:41:21 +0000 https://www.investmentexecutive.com/?p=528937 Preventing communication with clients could harm regulatory compliance

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]]> FINRA seeks ‘speed bumps’ to guard against fraud https://www.investmentexecutive.com/news/finra-seeks-speed-bumps-to-guard-against-fraud/ Thu, 08 Jan 2026 21:28:44 +0000 https://www.investmentexecutive.com/?p=528908 SRO proposes added measures to protect investors from exploitation

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]]> Europe adding ESG risks to industry stress testing https://www.investmentexecutive.com/news/europe-adding-esg-risks-to-industry-stress-testing/ Thu, 08 Jan 2026 18:50:36 +0000 https://www.investmentexecutive.com/?p=528905 New guidance sets standards for emerging supervisory exercises

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]]> Ex-TD banker pleads guilty in money laundering case https://www.investmentexecutive.com/news/ex-td-banker-pleads-guilty-in-money-laundering-case/ Wed, 07 Jan 2026 19:16:15 +0000 https://www.investmentexecutive.com/?p=528859 Bank manager processed US$92 million worth of transactions for ring

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]]> Advisor title regulation in effect for New Brunswick https://www.investmentexecutive.com/news/advisor-title-regulation-in-effect-for-new-brunswick/ Tue, 06 Jan 2026 21:29:53 +0000 https://www.investmentexecutive.com/?p=528808 Credential requirements are being phased in over the next few years

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]]> Crypto platform sanctioned by FINTRAC https://www.investmentexecutive.com/news/crypto-platform-sanctioned-by-fintrac/ Thu, 18 Dec 2025 18:15:18 +0000 https://www.investmentexecutive.com/?p=528085 Firm failed to report attempted suspicious transactions

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]]> MX proposes changes to enforcement https://www.investmentexecutive.com/news/mx-proposes-changes-to-enforcement/ Thu, 18 Dec 2025 14:31:11 +0000 https://www.investmentexecutive.com/?p=528041 Exchange to drop "minor violation" process, add new remediation function

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Fund industry responds to anti-greenwashing efforts https://www.investmentexecutive.com/news/fund-industry-responds-to-anti-greenwashing-efforts/ Wed, 17 Dec 2025 19:24:36 +0000 https://www.investmentexecutive.com/?p=528015 ESMA review finds ESG funds changing names, portfolios to align better

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]]> CIRO settles with dealer for oversight lapse https://www.investmentexecutive.com/uncategorized/ciro-settles-with-dealer-for-oversight-lapse/ Wed, 17 Dec 2025 13:00:55 +0000 https://www.investmentexecutive.com/?p=527901 External provider stopped including CSE stocks in trading reports

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