Conflicts of interest | Investment Executive https://www.investmentexecutive.com/tag/conflicts-of-interest/ Canada's news source for financial professionals Thu, 09 Apr 2026 14:27:47 +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 SEC sanctions FTX audit lead https://www.investmentexecutive.com/news/sec-sanctions-ftx-audit-lead/ Thu, 09 Apr 2026 14:27:47 +0000 https://www.investmentexecutive.com/?p=535872 Auditors failed to understand relationship between FTX, hedge fund: regulator

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]]> U.S. advisor pleads guilty in US$160-million fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-pleads-guilty-in-us160-million-fraud/ Tue, 07 Apr 2026 19:18:37 +0000 https://www.investmentexecutive.com/?p=535623 Investors misled in risky, conflicted private equity funds, authorities alleged

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]]> U.S. advisor settles SEC charges https://www.investmentexecutive.com/news/u-s-advisor-settles-sec-charges/ Mon, 30 Mar 2026 18:44:47 +0000 https://www.investmentexecutive.com/?p=535178 SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing

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]]> Bank competition grows, but Big Tech faces doubts https://www.investmentexecutive.com/news/bank-competition-grows-but-big-tech-faces-doubts/ Wed, 25 Mar 2026 19:01:02 +0000 https://www.investmentexecutive.com/?p=534800 Approval of charters for non-banks on the rise, but industry wary of tech giants: Fitch

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]]> Trailer fees in FCA’s crosshairs once again https://www.investmentexecutive.com/news/trailer-fees-in-fcas-crosshairs-once-again/ Wed, 25 Mar 2026 18:48:14 +0000 https://www.investmentexecutive.com/?p=534794 Concerns about investor harm arise as trailers persist, despite 2012 ban

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]]> Firm failed to disclose conflict in asset allocation: SEC https://www.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

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]]> FCA to review U.K.’s new listing rules https://www.investmentexecutive.com/news/fca-to-review-u-k-s-new-listing-rules/ Tue, 03 Mar 2026 19:19:13 +0000 https://www.investmentexecutive.com/?p=533053 Regulator to reconsider diversification requirements for listed funds

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]]> Class action against FSRA over PACE dismissed https://www.investmentexecutive.com/news/class-action-against-fsra-over-pace-dismissed/ Mon, 02 Mar 2026 19:31:37 +0000 https://www.investmentexecutive.com/?p=532975 Court rejects theory that investor disclosure is required for share transfers

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]]> FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

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]]> Investor protection follows function, not form: ESMA https://www.investmentexecutive.com/news/investor-protection-follows-function-not-form-esma/ Tue, 24 Feb 2026 19:37:38 +0000 https://www.investmentexecutive.com/?p=532506 CFD rules may apply to other products, such as crypto derivatives, regs say

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