Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ Canada's news source for financial professionals Tue, 13 Jan 2026 14:24:40 +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 SEC drops accounting fraud case against mining exec https://www.investmentexecutive.com/news/sec-drops-accounting-fraud-case-against-mining-exec/ Tue, 13 Jan 2026 14:24:40 +0000 https://www.investmentexecutive.com/?p=529201 Regulator settled with Rio Tinto, former CEO in 2023

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]]> Firms falling short at selling complex products: FCA https://www.investmentexecutive.com/news/firms-falling-short-at-selling-complex-products-fca/ Mon, 12 Jan 2026 20:04:00 +0000 https://www.investmentexecutive.com/?p=529167 Risk of retail investor harm from poor controls, disclosure, review finds

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]]> Court denies broker injunction against insurer https://www.investmentexecutive.com/news/court-denies-broker-injunction-against-insurer/ Thu, 08 Jan 2026 21:41:21 +0000 https://www.investmentexecutive.com/?p=528937 Preventing communication with clients could harm regulatory compliance

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]]> Court approves CIBC trailer fee settlement https://www.investmentexecutive.com/news/court-approves-cibc-trailer-fee-settlement/ Wed, 07 Jan 2026 19:10:02 +0000 https://www.investmentexecutive.com/?p=528849 Class action brought on behalf of full-service clients with funds that paid trailers

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]]> U.S. broker pays restitution to short-changed clients https://www.investmentexecutive.com/news/u-s-broker-pays-restitution-to-short-changed-clients/ Tue, 06 Jan 2026 13:57:09 +0000 https://www.investmentexecutive.com/?p=528703 Customers paid higher fees, got less interest on cash balances: FINRA

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]]> Court green lights shareholder class action https://www.investmentexecutive.com/news/court-green-lights-shareholder-class-action/ Mon, 05 Jan 2026 20:42:47 +0000 https://www.investmentexecutive.com/?p=528692 Market more important than experts in establishing materiality, court says

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]]> ASC extends safe harbour regime to climate-related disclosures https://www.investmentexecutive.com/news/asc-extends-safe-harbour-regime-to-climate-related-disclosures/ Fri, 19 Dec 2025 15:47:40 +0000 https://www.investmentexecutive.com/?p=528136 Provincial regulator can halt trading when misinformation circulates

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]]> Fund industry responds to anti-greenwashing efforts https://www.investmentexecutive.com/news/fund-industry-responds-to-anti-greenwashing-efforts/ Wed, 17 Dec 2025 19:24:36 +0000 https://www.investmentexecutive.com/?p=528015 ESMA review finds ESG funds changing names, portfolios to align better

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/fca-consults-on-crypto-rules-3/ Tue, 16 Dec 2025 21:07:42 +0000 https://www.investmentexecutive.com/?p=527876 U.K. regulator's proposals aim to support innovation while protecting consumers

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]]> IAFP introduces mandatory fiduciary attestation for RFP holders https://www.investmentexecutive.com/news/industry-news/iafp-introduces-mandatory-fiduciary-attestation-for-rfp-holders/ Mon, 15 Dec 2025 21:27:01 +0000 https://www.investmentexecutive.com/?p=527794 Association also tightens compensation disclosure requirements

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