Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ Canada's news source for financial professionals Thu, 09 Apr 2026 21:11:22 +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 Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ 32 32 Issuers start moving to semi-annual reporting https://www.investmentexecutive.com/news/issuers-start-moving-to-semi-annual-reporting/ Thu, 09 Apr 2026 21:11:22 +0000 https://www.investmentexecutive.com/?p=535961 Venture companies begin opting for less frequent reporting

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]]> Insider rules apply to single-stock vehicles: CSA https://www.investmentexecutive.com/news/insider-rules-apply-to-single-stock-vehicles-csa/ Thu, 09 Apr 2026 21:06:44 +0000 https://www.investmentexecutive.com/?p=535929 Proposal to clarify that reporting rules apply to unitary ETFs, CDRs, notes

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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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]]> Investor class-action settlement approved https://www.investmentexecutive.com/news/from-the-regulators/investor-class-action-settlement-approved/ Thu, 02 Apr 2026 18:04:19 +0000 https://www.investmentexecutive.com/?p=535491 Defendants to pay $8 million, including $2.4 million for class counsel

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]]> Firm logged into accounts to approve fees: SEC https://www.investmentexecutive.com/news/from-the-regulators/firm-logged-into-accounts-to-approve-fees-sec/ Wed, 01 Apr 2026 18:32:06 +0000 https://www.investmentexecutive.com/?p=535386 U.S. advisory firm settles allegation that it levied undisclosed fees

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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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]]> Big banks take heat at Senate hearing https://www.investmentexecutive.com/news/big-banks-take-heat-at-senate-hearing/ Fri, 27 Mar 2026 13:36:23 +0000 https://www.investmentexecutive.com/?p=534973 Regulators lament shrinking shelves, eroding support for junior issuers

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]]> Ontario’s budget on crypto, MGAs and pensions https://www.investmentexecutive.com/news/ontarios-budget-on-crypto-mgas-and-pensions/ Thu, 26 Mar 2026 21:32:36 +0000 https://www.investmentexecutive.com/?p=534934 Government highlights plans for innovation, consumer protection

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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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