Enforcement – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 03 May 2024 21:48:43 +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 Enforcement – Investment Executive https://www.investmentexecutive.com 32 32 OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

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]]> SEC sanctions systematic audit firm failures https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-systematic-audit-firm-failures/ Fri, 03 May 2024 16:05:52 +0000 https://www.investmentexecutive.com/?p=485169 Firm allegedly recycled audit papers, routinely failed to meet standards

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]]> Misleading disclosure wasn’t material, BCSC panel finds https://www.investmentexecutive.com/news/from-the-regulators/misleading-disclosure-wasnt-material-bcsc-panel-finds/ Thu, 02 May 2024 21:26:13 +0000 https://www.investmentexecutive.com/?p=485144 Misrepresentation allegations against pharma company and CEO dismissed

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]]> Delay for OSC’s Bridging hearing denied https://www.investmentexecutive.com/news/from-the-regulators/delay-for-oscs-bridging-hearing-denied/ Wed, 01 May 2024 17:41:02 +0000 https://www.investmentexecutive.com/?p=485080 Tribunal refused to pause its proceedings while lawyers try to get paid

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]]> Fraudsters faking identities, duping banks https://www.investmentexecutive.com/news/from-the-regulators/fraudsters-faking-identities-duping-banks/ Mon, 29 Apr 2024 18:39:06 +0000 https://www.investmentexecutive.com/?p=484936 Toronto police bust alleged synthetic identity ring

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]]> Toronto police bust fake investment scheme https://www.investmentexecutive.com/news/from-the-regulators/toronto-police-bust-fake-investment-scheme/ Fri, 26 Apr 2024 21:22:14 +0000 https://www.investmentexecutive.com/?p=484853 Perpetrators posing as representatives of Schroders, an asset manager

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]]> Precious metals scammers sanctioned https://www.investmentexecutive.com/news/from-the-regulators/precious-metals-scammers-sanctioned/ Fri, 26 Apr 2024 18:03:13 +0000 https://www.investmentexecutive.com/?p=484819 Elderly investors duped into converting retirement savings into overpriced coins

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]]> Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> Tribunal asked to pause OSC’s Bridging case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-asked-to-pause-oscs-bridging-case/ Wed, 24 Apr 2024 16:49:00 +0000 https://www.investmentexecutive.com/?p=484673 Lawyers for firm's founder seek adjournment amid unpaid legal bills

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]]> Court certifies crypto class action against Binance https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-crypto-class-action-against-binance/ Mon, 22 Apr 2024 18:06:31 +0000 https://www.investmentexecutive.com/?p=484473 Suit alleges that retail investor trades violated securities law

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