Compliance – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 24 Apr 2024 19:33:54 +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 Compliance – Investment Executive https://www.investmentexecutive.com 32 32 Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> OSC hikes fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-hikes-fees-for-crypto-firms/ Fri, 19 Apr 2024 16:17:50 +0000 https://www.investmentexecutive.com/?p=484368 Regulator adopts new charges to cover added costs on overseeing crypto sector

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]]> 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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]]> CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

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]]> CSA extends crypto firms’ stablecoin deadline https://www.investmentexecutive.com/news/from-the-regulators/csa-extends-crypto-firms-stablecoin-deadline/ Wed, 17 Apr 2024 18:12:51 +0000 https://www.investmentexecutive.com/?p=484176 Crypto platforms get until Oct. 31 to meet CSA's interim rules

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]]> Retail investor issues get top billing on IOSCO agenda https://www.investmentexecutive.com/news/from-the-regulators/retail-investor-issues-get-top-billing-on-iosco-agenda/ Mon, 15 Apr 2024 18:00:33 +0000 https://www.investmentexecutive.com/?p=483759 Broker conflicts, finfluencers, gamification among regulators' priorities

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> PCAOB sanctions KPMG, Deloitte affiliates for exam cheating https://www.investmentexecutive.com/news/from-the-regulators/pcaob-sanctions-kpmg-deloitte-affiliates-for-exam-cheating/ Wed, 10 Apr 2024 20:59:09 +0000 https://www.investmentexecutive.com/?p=483509 Audit regulator hits KPMG's Dutch division with record US$25-million fine

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]]> FCA to revive research bundling https://www.investmentexecutive.com/news/from-the-regulators/fca-to-revive-research-bundling/ Wed, 10 Apr 2024 19:26:01 +0000 https://www.investmentexecutive.com/?p=483499 Regulator aims to ease asset managers' access to investment research

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