Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ Canada's news source for financial professionals Fri, 19 Dec 2025 20:39:38 +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 SEC sanctions Canadian over pump-and-dumps https://www.investmentexecutive.com/uncategorized/sec-sanctions-canadian-over-pump-and-dumps/ Fri, 19 Dec 2025 20:39:38 +0000 https://www.investmentexecutive.com/?p=528204 Accountant allegedly found assets used to lure investors to schemes

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]]> Executive banned in failed real estate scheme https://www.investmentexecutive.com/uncategorized/executive-banned-in-failed-real-estate-scheme/ Fri, 19 Dec 2025 19:56:40 +0000 https://www.investmentexecutive.com/?p=528215 OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation

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]]> SEC sanctions key figures in FTX scandal https://www.investmentexecutive.com/uncategorized/sec-sanctions-key-figures-in-ftx-scandal/ Fri, 19 Dec 2025 18:42:46 +0000 https://www.investmentexecutive.com/?p=528207 Execs that previously pleaded guilty in fraud case accept regulatory sanctions

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]]> Corporate director convicted of insider trading https://www.investmentexecutive.com/uncategorized/corporate-director-convicted-of-insider-trading/ Fri, 19 Dec 2025 11:00:15 +0000 https://www.investmentexecutive.com/?p=528112 Director tipped others and traded ahead of pending acquisition

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]]> Crypto platform sanctioned by FINTRAC https://www.investmentexecutive.com/uncategorized/crypto-platform-sanctioned-by-fintrac/ Thu, 18 Dec 2025 18:15:18 +0000 https://www.investmentexecutive.com/?p=528085 Firm failed to report attempted suspicious transactions

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]]> MX proposes changes to enforcement https://www.investmentexecutive.com/news/mx-proposes-changes-to-enforcement/ Thu, 18 Dec 2025 14:31:11 +0000 https://www.investmentexecutive.com/?p=528041 Exchange to drop "minor violation" process, add new remediation function

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]]> SEC alleges bitcoin miner duped investors https://www.investmentexecutive.com/news/sec-alleges-bitcoin-miner-duped-investors/ Thu, 18 Dec 2025 14:22:39 +0000 https://www.investmentexecutive.com/?p=528019 Scheme promised investors passive income from crypto mining: regulator

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Fund industry responds to anti-greenwashing efforts https://www.investmentexecutive.com/news/fund-industry-responds-to-anti-greenwashing-efforts/ Wed, 17 Dec 2025 19:24:36 +0000 https://www.investmentexecutive.com/?p=528015 ESMA review finds ESG funds changing names, portfolios to align better

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]]> LIBOR scandal, what LIBOR scandal? https://www.investmentexecutive.com/news/libor-scandal-what-libor-scandal/ Wed, 17 Dec 2025 19:17:39 +0000 https://www.investmentexecutive.com/?p=528010 U.K. proposes to ease benchmark regulation adopted after manipulation

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