Fiduciary duty | Investment Executive https://www.investmentexecutive.com/tag/fiduciary-duty/ Canada's news source for financial professionals Mon, 30 Mar 2026 18:44:47 +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 Fiduciary duty | Investment Executive https://www.investmentexecutive.com/tag/fiduciary-duty/ 32 32 U.S. advisor settles SEC charges https://www.investmentexecutive.com/news/u-s-advisor-settles-sec-charges/ Mon, 30 Mar 2026 18:44:47 +0000 https://www.investmentexecutive.com/?p=535178 SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing

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]]> Industry groups urge Ontario to rethink taxation https://www.investmentexecutive.com/news/industry-groups-urge-ontario-to-rethink-taxation/ Wed, 25 Mar 2026 20:07:58 +0000 https://www.investmentexecutive.com/?p=534777 Pre-budget submissions also float single insurance licensing system among provinces, fiduciary standard for advisors

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]]> Firm failed to disclose conflict in asset allocation: SEC https://www.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

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]]> SEC settles case against VC fund adviser https://www.investmentexecutive.com/news/sec-settles-case-against-vc-fund-adviser/ Tue, 24 Mar 2026 18:38:25 +0000 https://www.investmentexecutive.com/?p=534583 Regulator alleged US$14 million overcharging, settles for US$150,000 penalty

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]]> Ex-advisor convicted of ripping off NBA players https://www.investmentexecutive.com/news/ex-advisor-convicted-of-ripping-off-nba-players/ Thu, 05 Mar 2026 19:45:20 +0000 https://www.investmentexecutive.com/?p=533242 Former clients overcharged, had assets misappropriated

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]]> Class action against FSRA over PACE dismissed https://www.investmentexecutive.com/news/class-action-against-fsra-over-pace-dismissed/ Mon, 02 Mar 2026 19:31:37 +0000 https://www.investmentexecutive.com/?p=532975 Court rejects theory that investor disclosure is required for share transfers

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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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]]> SEC settles cherry-picking case against advisory firm https://www.investmentexecutive.com/news/sec-settles-cherry-picking-case-against-advisory-firm/ Wed, 11 Feb 2026 14:40:16 +0000 https://www.investmentexecutive.com/?p=531451 Firm breached fiduciary duty by unfairly allocating losing trades to clients

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]]> OSFI consults on regime for industry accountability https://www.investmentexecutive.com/news/osfi-consults-on-regime-for-industry-accountability/ Thu, 29 Jan 2026 22:14:04 +0000 https://www.investmentexecutive.com/?p=530675 Regulator seeks suitability standards for senior industry personnel

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]]> Investors seek action against funds’ receiver https://www.investmentexecutive.com/news/investors-seek-action-against-funds-receiver/ Thu, 22 Jan 2026 21:42:31 +0000 https://www.investmentexecutive.com/?p=530068 Proposed claim alleges receiver failed to cash out of stock that hit $100 million

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