Fiduciary duty | Investment Executive https://www.investmentexecutive.com/tag/fiduciary-duty/ Canada's news source for financial professionals Tue, 18 Nov 2025 18:53:56 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 SEC drops crypto from compliance exams https://www.investmentexecutive.com/news/sec-drops-crypto-from-compliance-exams/ Tue, 18 Nov 2025 18:53:56 +0000 https://www.investmentexecutive.com/?p=525711 Exam priorities no longer cite crypto as an emerging risk, or focus

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]]> Class action certified in Mackenzie data breach https://www.investmentexecutive.com/news/from-the-regulators/class-action-certified-in-mackenzie-data-breach/ Wed, 05 Nov 2025 15:39:55 +0000 https://www.investmentexecutive.com/?p=524611 Case to consider whether damages are owed, while data hasn't been misused

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]]> Pension fund sues to halt Exxon’s retail voting plan https://www.investmentexecutive.com/news/pension-fund-sues-to-halt-exxons-retail-voting-plan/ Thu, 16 Oct 2025 18:03:59 +0000 https://www.investmentexecutive.com/?p=522827 Lawsuit alleges program harms shareholder rights, stifles dissent

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/from-the-regulators/fca-consults-on-crypto-rules-2/ Wed, 17 Sep 2025 20:11:17 +0000 https://www.investmentexecutive.com/?p=520489 U.K. regulator's proposals consider operational, conduct standards for emerging sector

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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> Fund manager fell for Ponzi scheme: SEC https://www.investmentexecutive.com/news/from-the-regulators/fund-manager-fell-for-ponzi-scheme-sec/ Fri, 15 Aug 2025 19:09:43 +0000 https://www.investmentexecutive.com/?p=517660 Alleged fraudster, fund manager charged in vending machine scam

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]]> SCC declines to hear fiduciary duty appeal https://www.investmentexecutive.com/news/from-the-regulators/scc-declines-to-hear-fiduciary-duty-appeal/ Thu, 14 Aug 2025 18:22:01 +0000 https://www.investmentexecutive.com/?p=517541 Appeal court found no fiduciary relationship in dispute over clients

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]]> B.C. appeal court certifies closet indexing class action https://www.investmentexecutive.com/news/from-the-regulators/b-c-appeal-court-certifies-closet-indexing-class-action/ Wed, 05 Feb 2025 20:38:08 +0000 https://www.investmentexecutive.com/?p=501844 Fund investors don't need to allege fraud, court finds

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]]> Quant funds failed to guard models: SEC https://www.investmentexecutive.com/news/from-the-regulators/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

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]]> Edward Jones to pay US$17 million in NASAA settlement https://www.investmentexecutive.com/news/from-the-regulators/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

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