Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ Canada's news source for financial professionals Thu, 19 Mar 2026 18:40:16 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ 32 32 CSA to test semi-annual reporting for venture market https://www.investmentexecutive.com/news/csa-to-test-semi-annual-reporting-for-venture-market/ Thu, 19 Mar 2026 18:37:27 +0000 https://www.investmentexecutive.com/?p=534291 Pilot project could lead to broader shift to less frequent reporting

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]]> IOSCO revises guidance on issuers’ alt metrics https://www.investmentexecutive.com/news/iosco-revises-guidance-on-issuers-alt-metrics/ Tue, 17 Mar 2026 19:57:14 +0000 https://www.investmentexecutive.com/?p=534040 Regulators update policy on the use of non-GAAP financial measures

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]]> Trio pleads guilty in US$500-million scheme https://www.investmentexecutive.com/news/trio-pleads-guilty-in-us500-million-scheme/ Wed, 04 Mar 2026 18:57:06 +0000 https://www.investmentexecutive.com/?p=533135 Firms failed to disclose massive markups on pre-IPO securities

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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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]]> Vanguard settles U.S. states’ anti-ESG suit https://www.investmentexecutive.com/news/vanguard-settles-u-s-states-anti-esg-suit/ Fri, 27 Feb 2026 18:08:51 +0000 https://www.investmentexecutive.com/?p=532842 Firm agrees to proxy voting changes, US$29.5 million payment, to end case

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]]> SEC settles IR guy’s false Buffett claim https://www.investmentexecutive.com/news/sec-settles-ir-guys-false-buffett-claim/ Thu, 26 Feb 2026 20:28:16 +0000 https://www.investmentexecutive.com/?p=532710 Scheme to boost stock price claimed that Berkshire bought insurer's stock

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]]> SEC sanctions firm’s pandemic loan pricing https://www.investmentexecutive.com/news/sec-sanctions-firms-pandemic-loan-pricing/ Thu, 26 Feb 2026 15:16:56 +0000 https://www.investmentexecutive.com/?p=532607 Firm failed to adjust loan pricing to reflect impact of market turmoil

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]]> SDNY offers companies ‘get out of jail free’ card https://www.investmentexecutive.com/news/sdny-offers-companies-get-out-of-jail-free-card/ Wed, 25 Feb 2026 15:47:19 +0000 https://www.investmentexecutive.com/?p=532515 U.S. attorney's office to hold individuals accountable for financial misdeeds

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]]> U.K. finfluencers fined for posts https://www.investmentexecutive.com/news/u-k-finfluencers-fined-for-posts/ Fri, 20 Feb 2026 22:52:55 +0000 https://www.investmentexecutive.com/?p=532265 Reality TV stars touted unauthorized FX investments, regulator alleged

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