Conflicts of interest – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 03 May 2024 21:48:43 +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 Conflicts of interest – Investment Executive https://www.investmentexecutive.com 32 32 OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

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]]> 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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]]> Tribunal asked to pause OSC’s Bridging case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-asked-to-pause-oscs-bridging-case/ Wed, 24 Apr 2024 16:49:00 +0000 https://www.investmentexecutive.com/?p=484673 Lawyers for firm's founder seek adjournment amid unpaid legal bills

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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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]]> Fund rep’s side hustle results in ban, fine https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-side-hustle-results-in-ban-fine/ Thu, 11 Apr 2024 18:57:49 +0000 https://www.investmentexecutive.com/?p=483585 Clients lost more than $1.5 million on rep's failed fintech venture

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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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]]> Risks arise as exchanges evolve, IOSCO says https://www.investmentexecutive.com/news/from-the-regulators/risks-arise-as-exchanges-evolve-iosco-says/ Thu, 04 Apr 2024 18:12:30 +0000 https://www.investmentexecutive.com/?p=483148 Expansion of business lines multiplies conflicts and regulatory challenges

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]]> ESMA consults on green bond scrutineers https://www.investmentexecutive.com/news/from-the-regulators/esma-consults-on-green-bond-scrutineers/ Tue, 26 Mar 2024 18:55:14 +0000 https://www.investmentexecutive.com/?p=482749 Consultation proposes registration, supervisory standards for independent reviewers

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]]> ESMA sanctions rating agency https://www.investmentexecutive.com/news/from-the-regulators/esma-sanctions-rating-agency/ Fri, 22 Mar 2024 20:40:48 +0000 https://www.investmentexecutive.com/?p=482626 European regulator said violations involved conflicts of interest

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]]> Fund managers need to spruce up IRCs https://www.investmentexecutive.com/news/from-the-regulators/fund-managers-need-to-spruce-up-ircs/ Thu, 21 Mar 2024 18:25:09 +0000 https://www.investmentexecutive.com/?p=482472 OSC, AMF call for freshening up fund governance

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