Compliance | Investment Executive https://www.investmentexecutive.com/tag/compliance/ Canada's news source for financial professionals Mon, 13 Apr 2026 13:28:12 +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 For whistleblowers, it matters who knocks first https://www.investmentexecutive.com/news/for-whistleblowers-it-matters-who-knocks-first/ Mon, 13 Apr 2026 13:28:12 +0000 https://www.investmentexecutive.com/?p=536105 Tipster denied payout after first alerting media, prompting SEC investigation

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]]> Issuers start moving to semi-annual reporting https://www.investmentexecutive.com/news/issuers-start-moving-to-semi-annual-reporting/ Thu, 09 Apr 2026 21:11:22 +0000 https://www.investmentexecutive.com/?p=535961 Venture companies begin opting for less frequent reporting

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]]> SEC names new enforcement chief https://www.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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]]> CIRO seeks to tackle persistent policy challenges https://www.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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]]> CIRO proposes short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> ASX inquiry confirms cultural, governance failings https://www.investmentexecutive.com/news/from-the-regulators/asx-inquiry-confirms-cultural-governance-failings/ Thu, 02 Apr 2026 18:18:32 +0000 https://www.investmentexecutive.com/?p=535503 Company prioritized shareholder returns over infrastructure spend: ASIC

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]]> OSC proposal looks at automating compliance, cutting costs https://www.investmentexecutive.com/news/osc-proposal-looks-at-automating-compliance-cutting-costs/ Mon, 30 Mar 2026 18:19:36 +0000 https://www.investmentexecutive.com/?p=535153 Regulator consults on approach to building machine-readable rules

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]]> CIRO wraps guidance update project https://www.investmentexecutive.com/news/ciro-wraps-guidance-update-project/ Fri, 27 Mar 2026 20:28:30 +0000 https://www.investmentexecutive.com/?p=535103 SRO issues revisions to gatekeeper, trading supervision obligations

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]]> Binance sanctioned for onboarding failures: ASIC https://www.investmentexecutive.com/news/binance-sanctioned-for-onboarding-failures-asic/ Fri, 27 Mar 2026 20:23:19 +0000 https://www.investmentexecutive.com/?p=535051 Retail investors allowed to qualify as pro investors due to weak controls

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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