Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ Canada's news source for financial professionals Thu, 15 Jan 2026 22:15:23 +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 Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ 32 32 Proposed fine too light, CIRO panel finds https://www.investmentexecutive.com/uncategorized/proposed-fine-too-light-ciro-panel-finds/ Thu, 15 Jan 2026 22:15:23 +0000 https://www.investmentexecutive.com/?p=529541 Triple the proceeds of misconduct deemed more adequate deterrent

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]]> Clinical trial results drove insider trading: SEC https://www.investmentexecutive.com/uncategorized/clinical-trial-results-drove-insider-trading-sec/ Thu, 15 Jan 2026 20:23:07 +0000 https://www.investmentexecutive.com/?p=529535 U.S. authorities allege biostatistician traded on cancer drug data

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]]> Six arrested in probe of U.K. housing REIT https://www.investmentexecutive.com/uncategorized/six-arrested-in-probe-of-u-k-housing-reit/ Thu, 15 Jan 2026 15:18:02 +0000 https://www.investmentexecutive.com/?p=529471 Concerns about company were raised by short sellers in 2022

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]]> BCSC adds to ex-rep’s CIRO sanctions https://www.investmentexecutive.com/uncategorized/bcsc-adds-to-ex-reps-ciro-sanctions/ Thu, 15 Jan 2026 15:10:27 +0000 https://www.investmentexecutive.com/?p=529475 Former rep traded investors' discount brokerage accounts for them

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]]> ESMA’s new anti-greenwashing guidance https://www.investmentexecutive.com/uncategorized/esmas-new-anti-greenwashing-guidance/ Wed, 14 Jan 2026 19:58:19 +0000 https://www.investmentexecutive.com/?p=529442 Regulator calls for greater clarity from industry on ESG strategies

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]]> U.K., EU team up on overseeing critical tech suppliers https://www.investmentexecutive.com/uncategorized/u-k-eu-team-up-on-overseeing-critical-tech-suppliers/ Wed, 14 Jan 2026 19:55:00 +0000 https://www.investmentexecutive.com/?p=529438 Regulators sign MoU targeting operational resilience, incident recovery

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]]> ESMA unveils new digital strategy https://www.investmentexecutive.com/uncategorized/esma-unveils-new-digital-strategy/ Tue, 13 Jan 2026 21:52:58 +0000 https://www.investmentexecutive.com/?p=529332 Regs seek efficiency, innovation to facilitate single EU financial market

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]]> SEC drops accounting fraud case against mining exec https://www.investmentexecutive.com/news/sec-drops-accounting-fraud-case-against-mining-exec/ Tue, 13 Jan 2026 14:24:40 +0000 https://www.investmentexecutive.com/?p=529201 Regulator settled with Rio Tinto, former CEO in 2023

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]]> Ontario court blasts Binance’s legal tactics https://www.investmentexecutive.com/news/ontario-court-blasts-binances-legal-tactics/ Mon, 12 Jan 2026 22:09:01 +0000 https://www.investmentexecutive.com/?p=529173 Courts awards plaintiffs' costs, criticizes effort to force foreign arbitration

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]]> Firms falling short at selling complex products: FCA https://www.investmentexecutive.com/news/firms-falling-short-at-selling-complex-products-fca/ Mon, 12 Jan 2026 20:04:00 +0000 https://www.investmentexecutive.com/?p=529167 Risk of retail investor harm from poor controls, disclosure, review finds

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