Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ Canada's news source for financial professionals Thu, 04 Dec 2025 19:33:23 +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 Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ 32 32 Europe pushes single financial market reforms https://www.investmentexecutive.com/uncategorized/europe-pushes-single-financial-market-reforms/ Thu, 04 Dec 2025 19:33:23 +0000 https://www.investmentexecutive.com/?p=527042 Policymakers propose measures to integrate, harmonize markets

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]]> CIRO to issue final dealer rules in February https://www.investmentexecutive.com/news/ciro-to-issue-final-dealer-rules-in-february/ Wed, 03 Dec 2025 22:32:17 +0000 https://www.investmentexecutive.com/?p=526952 Final consultation on merged dealer rules will get 120-day comment period

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]]> ESMA targets retail conflicts of interest https://www.investmentexecutive.com/news/esma-targets-retail-conflicts-of-interest/ Wed, 03 Dec 2025 20:05:18 +0000 https://www.investmentexecutive.com/?p=526916 Compliance review will examine industry conflicts with investors' interests

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]]> Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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]]> EMD exemption falls flat, CSA asks why https://www.investmentexecutive.com/news/emd-exemption-falls-flat-csa-asks-why/ Thu, 27 Nov 2025 19:52:35 +0000 https://www.investmentexecutive.com/?p=526475 Regulators seek feedback on initiative that sparked little activity

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]]> Outlook for securities sector is neutral: Fitch https://www.investmentexecutive.com/news/outlook-for-securities-sector-is-neutral-fitch/ Mon, 24 Nov 2025 19:35:08 +0000 https://www.investmentexecutive.com/?p=526169 Market environment remains supportive for 2026, but downside risks persist

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]]> FCA consults on market data reforms https://www.investmentexecutive.com/news/fca-consults-on-market-data-reforms/ Wed, 19 Nov 2025 19:21:09 +0000 https://www.investmentexecutive.com/?p=525849 Regulator looks to introduce consolidated equity tape in 2027

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]]> Advisors pinpoint tech, support for high-net-worth clients as key to growth https://www.investmentexecutive.com/news/advisors-pinpoint-tech-support-for-high-net-worth-clients-as-key-to-growth/ Wed, 19 Nov 2025 17:13:46 +0000 https://www.investmentexecutive.com/?p=525762 IG Wealth survey echoes findings of IE’s Report Card series

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]]> 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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]]> ‘Neo’ brokers bring neo risks too: IOSCO https://www.investmentexecutive.com/news/neo-brokers-bring-neo-risks-too-iosco/ Wed, 12 Nov 2025 19:03:30 +0000 https://www.investmentexecutive.com/?p=525233 Fee disclosure, conflicts of interest, consent pose investor protection issues

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