Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ Canada's news source for financial professionals Fri, 27 Feb 2026 18:41:39 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 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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]]> B.C. court upholds class action appeal https://www.investmentexecutive.com/uncategorized/b-c-court-upholds-class-action-appeal/ Fri, 13 Feb 2026 09:00:54 +0000 https://www.investmentexecutive.com/?p=531734 Judge was wrong to exclude, divide plaintiff group, appeal court rules

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]]> Closet indexing class action against CIBC certified https://www.investmentexecutive.com/news/closet-indexing-class-action-against-cibc-certified/ Wed, 11 Feb 2026 22:06:27 +0000 https://www.investmentexecutive.com/?p=531575 B.C. court finds plaintiffs furnished evidence of potential closet indexing

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]]> FINRA to allow brokers to use return targets https://www.investmentexecutive.com/news/finra-to-allow-brokers-to-use-return-targets/ Wed, 11 Feb 2026 19:30:55 +0000 https://www.investmentexecutive.com/?p=531546 SRO crafts exception from ban on using performance projections

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]]> FCA alleges crypto platform breached new rules https://www.investmentexecutive.com/news/fca-alleges-crypto-platform-breached-new-rules/ Tue, 10 Feb 2026 20:22:47 +0000 https://www.investmentexecutive.com/?p=531439 U.K. agency brings first proceeding alleging illegal promotional activity

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]]> Investor access to risky products a priority for IOSCO https://www.investmentexecutive.com/news/investor-access-to-risky-products-a-priority-for-iosco/ Mon, 09 Feb 2026 20:26:57 +0000 https://www.investmentexecutive.com/?p=531345 Regulators flag retail investor issues, market structure, resilience for 2026

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