Disclosure – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 20:41:01 +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 Disclosure – Investment Executive https://www.investmentexecutive.com 32 32 Feds to give CRA new powers to compel data from taxpayers https://www.investmentexecutive.com/news/industry-news/feds-to-give-cra-new-powers-to-compel-data-from-taxpayers/ Thu, 25 Apr 2024 20:23:35 +0000 https://www.investmentexecutive.com/?p=484755 The agency could extend reassessment period if a taxpayer is issued a notice of non-compliance

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]]> Fund costs fell after CRM2 https://www.investmentexecutive.com/news/from-the-regulators/fund-costs-fell-after-crm2/ Thu, 25 Apr 2024 15:05:56 +0000 https://www.investmentexecutive.com/?p=484748 CSA research details the evolution of fund costs in the face of transparency reforms

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]]> Nature, workforce risks next on ISSB’s agenda https://www.investmentexecutive.com/news/from-the-regulators/nature-workforce-risks-next-on-issbs-agenda/ Tue, 23 Apr 2024 18:39:28 +0000 https://www.investmentexecutive.com/?p=484596 Standards setter defines its policy direction beyond climate disclosures

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> Budget softens mandatory tax disclosure regime https://www.investmentexecutive.com/news/industry-news/budget-softens-mandatory-tax-disclosure-regime/ Tue, 23 Apr 2024 15:13:33 +0000 https://www.investmentexecutive.com/?p=484570 While financial advisors are still subject to the rules, the budget change could undermine lawyers' Charter challenge of the regime

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]]> 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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]]> CSA extends crypto firms’ stablecoin deadline https://www.investmentexecutive.com/news/from-the-regulators/csa-extends-crypto-firms-stablecoin-deadline/ Wed, 17 Apr 2024 18:12:51 +0000 https://www.investmentexecutive.com/?p=484176 Crypto platforms get until Oct. 31 to meet CSA's interim rules

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> Fund rep’s side hustle results in ban, fine https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-side-hustle-results-in-ban-fine/ Thu, 11 Apr 2024 18:57:49 +0000 https://www.investmentexecutive.com/?p=483585 Clients lost more than $1.5 million on rep's failed fintech venture

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]]> Fund dealer chief sanctioned for misleading SRO https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-chief-sanctioned-for-misleading-sro/ Fri, 05 Apr 2024 19:09:37 +0000 https://www.investmentexecutive.com/?p=483275 Terms of firm's sale weren't fully disclosed to regulators

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