Consumer protection | Investment Executive https://www.investmentexecutive.com/tag/consumer-protection/ Canada's news source for financial professionals Fri, 12 Dec 2025 19:23:51 +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 Consumer protection | Investment Executive https://www.investmentexecutive.com/tag/consumer-protection/ 32 32 FCA issues guidance on workplace misconduct https://www.investmentexecutive.com/news/from-the-regulators/fca-issues-guidance-on-workplace-misconduct/ Fri, 12 Dec 2025 19:23:51 +0000 https://www.investmentexecutive.com/?p=527677 Enforcing rules against harassment, bullying aims to boost trust in industry

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]]> FINTRAC seeks sanctions on money transfer firm https://www.investmentexecutive.com/news/from-the-regulators/fintrac-seeks-sanctions-on-money-transfer-firm/ Thu, 11 Dec 2025 19:37:45 +0000 https://www.investmentexecutive.com/?p=527560 Agency alleges breaches discovered in compliance exam

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> Complaint confidentiality in the public interest https://www.investmentexecutive.com/news/complaint-confidentiality-in-the-public-interest/ Thu, 09 Oct 2025 17:12:56 +0000 https://www.investmentexecutive.com/?p=522325 IPC upholds FSRA decision to protect identity of complainant

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]]> Aussie banking giant faces A$240 million penalties https://www.investmentexecutive.com/news/from-the-regulators/aussie-banking-giant-faces-a240-million-penalties/ Mon, 15 Sep 2025 19:53:47 +0000 https://www.investmentexecutive.com/?p=520199 Settlement to address series of retail, institutional compliance issues

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]]> FINTRAC sanctions B.C. Lottery Corp. https://www.investmentexecutive.com/news/from-the-regulators/fintrac-sanctions-b-c-lottery-corp/ Thu, 28 Aug 2025 17:47:58 +0000 https://www.investmentexecutive.com/?p=518716 BCLC says it's appealing the $1 million penalty to Federal Court

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]]> Agent sanctioned for KYC, client fundraiser https://www.investmentexecutive.com/news/from-the-regulators/agent-sanctioned-for-kyc-client-fundraiser/ Tue, 12 Aug 2025 07:47:00 +0000 https://www.investmentexecutive.com/?p=517308 Rep started a GoFundMe to help out a client breached privacy obligation

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]]> FCA seeks to improve asset safeguards https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-to-improve-asset-safeguards/ Thu, 07 Aug 2025 18:37:21 +0000 https://www.investmentexecutive.com/?p=517075 Regulator stiffens requirements on payment, e-money firms

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]]> Digital design matters, FCA finds https://www.investmentexecutive.com/news/from-the-regulators/digital-design-matters-fca-finds/ Fri, 01 Aug 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516570 Regulator's research details how online design can hurt, and help, investors

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]]> FCA seeks dispute resolution reforms https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-dispute-resolution-reforms/ Thu, 17 Jul 2025 18:03:42 +0000 https://www.investmentexecutive.com/?p=515486 Improving handling of systemic issues aims to prevent delays in compensation, enhance industry certainty

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