Disclosure | Investment Executive https://www.investmentexecutive.com/tag/disclosure/ Canada's news source for financial professionals Wed, 29 Apr 2026 20:09:03 +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 Industry innovates, but financial health suffers https://www.investmentexecutive.com/news/industry-innovates-but-financial-health-suffers/ Wed, 29 Apr 2026 20:09:03 +0000 https://www.investmentexecutive.com/?p=537592 Paper calls for guardrails against negative side effects of digital innovation

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]]> FCA launches ESG ratings pilot https://www.investmentexecutive.com/news/fca-launches-esg-ratings-pilot/ Tue, 28 Apr 2026 16:39:54 +0000 https://www.investmentexecutive.com/?p=537410 Project designed to avoid creating needless burden with new regime

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]]> RCMP alleges fraud by junior miner’s ex-CEO https://www.investmentexecutive.com/news/rcmp-alleges-fraud-by-junior-miners-ex-ceo/ Tue, 28 Apr 2026 16:28:56 +0000 https://www.investmentexecutive.com/?p=537346 Police allege gold assay results were altered for years to overstate resources

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]]> Alberta court allows class action to proceed https://www.investmentexecutive.com/news/from-the-regulators/alberta-court-allows-class-action-to-proceed/ Mon, 27 Apr 2026 20:39:44 +0000 https://www.investmentexecutive.com/?p=537289 Tolling of limitation period applies to all potential class members, court finds

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]]> OSC’s appeal of privacy decision rejected https://www.investmentexecutive.com/news/oscs-appeal-of-privacy-decision-rejected/ Fri, 24 Apr 2026 19:06:39 +0000 https://www.investmentexecutive.com/?p=537208 IPC denied regulator's review request on disclosure of records

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]]> ESMA examines the rise of non-public credit ratings https://www.investmentexecutive.com/news/esma-examines-the-rise-of-non-public-credit-ratings/ Thu, 16 Apr 2026 18:29:52 +0000 https://www.investmentexecutive.com/?p=536492 Regulator to explore market impact of private, restricted rating activity

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]]> ATS sanctioned over trade info leakage https://www.investmentexecutive.com/news/ats-sanctioned-over-trade-info-leakage/ Wed, 15 Apr 2026 17:51:13 +0000 https://www.investmentexecutive.com/?p=536369 Tribunal approved OSC's settlement with Liquidnet Canada

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]]> Court upholds class-action certification decision https://www.investmentexecutive.com/news/court-upholds-class-action-certification-decision/ Tue, 14 Apr 2026 19:10:29 +0000 https://www.investmentexecutive.com/?p=536279 Lawsuit makes claims on behalf of primary, secondary market investors

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]]> 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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