Consumer protection – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Apr 2024 20:07:19 +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 Consumer protection – Investment Executive https://www.investmentexecutive.com 32 32 FSRA disciplinary disclosure faces legal challenge https://www.investmentexecutive.com/news/from-the-regulators/fsra-disciplinary-disclosure-faces-legal-challenge/ Thu, 18 Apr 2024 20:07:19 +0000 https://www.investmentexecutive.com/?p=484297 Ontario court allows bid for judicial review of enforcement practices

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]]> Ontario court certifies fourth NSF fee class action https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-certifies-fourth-nsf-fee-class-action/ Fri, 12 Apr 2024 12:51:10 +0000 https://www.investmentexecutive.com/?p=483595 Case alleges Scotiabank charged duplicate fees on failed debits

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]]> FSRA takes enforcement action against MGA https://www.investmentexecutive.com/news/from-the-regulators/fsra-takes-enforcement-action-against-mga/ Fri, 05 Apr 2024 19:22:55 +0000 https://www.investmentexecutive.com/?p=483257 Regulator suspends firm and agents amid alleged misconduct

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]]> FSRA flags few issues at credentialing bodies https://www.investmentexecutive.com/news/from-the-regulators/fsra-flags-few-issues-at-credentialing-bodies/ Wed, 27 Mar 2024 20:51:18 +0000 https://www.investmentexecutive.com/?p=482849 Regulator reports results of first supervisory reviews at planner/advisor titling organizations

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]]> FinTRAC still coping with cyberbreach https://www.investmentexecutive.com/news/from-the-regulators/fintrac-still-coping-with-cyberbreach/ Fri, 22 Mar 2024 20:34:59 +0000 https://www.investmentexecutive.com/?p=482622 Agency says no evidence that information was lost in attack

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]]> FCA finds fault in firms’ retirement advice https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-fault-in-firms-retirement-advice/ Wed, 20 Mar 2024 19:22:10 +0000 https://www.investmentexecutive.com/?p=482408 Regulator details results of review, calls for action from firms

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]]> FCA flags anti-money laundering failures https://www.investmentexecutive.com/news/from-the-regulators/fca-flags-anti-money-laundering-failures/ Tue, 05 Mar 2024 18:55:44 +0000 https://www.investmentexecutive.com/?p=481592 Regulator outlines array of weaknesses in firms' anti-crime controls

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]]> Court green-lights funding for bank class actions https://www.investmentexecutive.com/news/from-the-regulators/court-green-lights-funding-for-bank-class-actions/ Tue, 05 Mar 2024 18:48:31 +0000 https://www.investmentexecutive.com/?p=481587 Four banks face lawsuits over duplicate NSF fees

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]]> FINTRAC faces cyber incident https://www.investmentexecutive.com/news/from-the-regulators/fintrac-faces-cyber-incident/ Mon, 04 Mar 2024 22:07:09 +0000 https://www.investmentexecutive.com/?p=481515 Anti-money laundering agency takes systems offline as a precaution

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]]> TikToks and tweets pose risks to banks: S&P https://www.investmentexecutive.com/news/research-and-markets/tiktoks-and-tweets-pose-risks-to-banks-sp/ Thu, 29 Feb 2024 21:43:13 +0000 https://www.investmentexecutive.com/?p=481335 Banks should track social media as a liquidity risk factor, rating agency says

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