Conflicts of interest | Investment Executive https://www.investmentexecutive.com/tag/conflicts-of-interest/ Canada's news source for financial professionals Thu, 29 Jan 2026 19:38:07 +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 Conflicts of interest | Investment Executive https://www.investmentexecutive.com/tag/conflicts-of-interest/ 32 32 TSX adopts streamlined dividend reporting https://www.investmentexecutive.com/news/tsx-adopts-streamlined-dividend-reporting/ Thu, 29 Jan 2026 19:38:07 +0000 https://www.investmentexecutive.com/?p=530629 Amid industry pushback, exchange scraps plan to increase notice requirements

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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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]]> 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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]]> LIBOR scandal, what LIBOR scandal? https://www.investmentexecutive.com/news/libor-scandal-what-libor-scandal/ Wed, 17 Dec 2025 19:17:39 +0000 https://www.investmentexecutive.com/?p=528010 U.K. proposes to ease benchmark regulation adopted after manipulation

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]]> ASX put shareholders before market, investors: ASIC https://www.investmentexecutive.com/news/from-the-regulators/asx-put-shareholders-before-market-investors-asic/ Mon, 15 Dec 2025 21:40:44 +0000 https://www.investmentexecutive.com/?p=527757 Exchange agrees to reforms, capital hit to address concerns raised by review

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]]> FSRA revokes licence of insurance agent for allegedly misappropriating $700K from church members https://www.investmentexecutive.com/news/industry-news/fsra-revokes-licence-of-insurance-agent-for-allegedly-misappropriating-700k-from-church-members/ Thu, 11 Dec 2025 18:13:43 +0000 https://www.investmentexecutive.com/?p=527462 OSC had previously placed restrictions on the man as a mutual fund rep and volunteer minister

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]]> SEC supports lifting constraints on equity research https://www.investmentexecutive.com/news/sec-supports-lifting-constraints-on-equity-research/ Mon, 08 Dec 2025 20:21:38 +0000 https://www.investmentexecutive.com/?p=527239 "Dot-com" era conflict restrictions no longer needed, regulator agrees

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]]> ESMA targets retail conflicts of interest https://www.investmentexecutive.com/news/esma-targets-retail-conflicts-of-interest/ Wed, 03 Dec 2025 20:05:18 +0000 https://www.investmentexecutive.com/?p=526916 Compliance review will examine industry conflicts with investors' interests

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]]> FCA seeks more credibility for ESG ratings https://www.investmentexecutive.com/news/fca-seeks-more-credibility-for-esg-ratings/ Mon, 01 Dec 2025 19:52:30 +0000 https://www.investmentexecutive.com/?p=526664 Regulator consults on rules to boost trust, confidence in sustainability data

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