Conflicts of interest | Investment Executive

FINRA raises annual limit on gifts

jameslangton — Fri, 27 Feb 2026 20:07:20 +0000

SRO modernizes rules on industry gifts, codifies guidance, exemptions

jameslangton — Tue, 24 Feb 2026 19:37:38 +0000

CFD rules may apply to other products, such as crypto derivatives, regs say

jameslangton — Wed, 11 Feb 2026 14:40:16 +0000

Firm breached fiduciary duty by unfairly allocating losing trades to clients

jameslangton — Thu, 29 Jan 2026 19:38:07 +0000

Amid industry pushback, exchange scraps plan to increase notice requirements

jameslangton — Tue, 27 Jan 2026 19:55:05 +0000

FCA review will examine expected impact of AI on retail financial markets

jameslangton — Fri, 23 Jan 2026 19:34:05 +0000

FCA consults on latest phase of new rules for crypto firms

jameslangton — Thu, 18 Dec 2025 14:31:11 +0000

Exchange to drop "minor violation" process, add new remediation function

jameslangton — Wed, 17 Dec 2025 19:17:39 +0000

U.K. proposes to ease benchmark regulation adopted after manipulation

jameslangton — Mon, 15 Dec 2025 21:40:44 +0000

Exchange agrees to reforms, capital hit to address concerns raised by review

michelleschriver — Thu, 11 Dec 2025 18:13:43 +0000

OSC had previously placed restrictions on the man as a mutual fund rep and volunteer minister