Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ Canada's news source for financial professionals Thu, 05 Mar 2026 19:45:20 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 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

The post Ex-advisor convicted of ripping off NBA players appeared first on Investment Executive.

]]> U.S. accounting enforcement drops: report https://www.investmentexecutive.com/news/from-the-regulators/u-s-accounting-enforcement-drops-report/ Thu, 05 Mar 2026 09:00:46 +0000 https://www.investmentexecutive.com/?p=533162 Cases, penalties decline following leadership change, shift in focus

The post U.S. accounting enforcement drops: report appeared first on Investment Executive.

]]> Founder pleads guilty to defrauding venture investors https://www.investmentexecutive.com/news/from-the-regulators/founder-pleads-guilty-to-defrauding-venture-investors/ Thu, 05 Mar 2026 09:00:38 +0000 https://www.investmentexecutive.com/?p=533139 Fashion tech entrepreneur used false financials, audits to secure funding

The post Founder pleads guilty to defrauding venture investors appeared first on Investment Executive.

]]> Trio pleads guilty in US$500-million scheme https://www.investmentexecutive.com/news/trio-pleads-guilty-in-us500-million-scheme/ Wed, 04 Mar 2026 18:57:06 +0000 https://www.investmentexecutive.com/?p=533135 Firms failed to disclose massive markups on pre-IPO securities

The post Trio pleads guilty in US$500-million scheme appeared first on Investment Executive.

]]> Former broker charged in ‘free rider’ case https://www.investmentexecutive.com/news/from-the-regulators/former-broker-charged-in-free-rider-case/ Wed, 04 Mar 2026 09:00:23 +0000 https://www.investmentexecutive.com/?p=533092 Rep allegedly exploited credit brokers provide to facilitate new client trading

The post Former broker charged in ‘free rider’ case appeared first on Investment Executive.

]]> FCA to review U.K.’s new listing rules https://www.investmentexecutive.com/news/fca-to-review-u-k-s-new-listing-rules/ Tue, 03 Mar 2026 19:19:13 +0000 https://www.investmentexecutive.com/?p=533053 Regulator to reconsider diversification requirements for listed funds

The post FCA to review U.K.’s new listing rules appeared first on Investment Executive.

]]> IOSCO launches AI-focused hackathon https://www.investmentexecutive.com/news/iosco-launches-ai-focused-hackathon/ Tue, 03 Mar 2026 14:20:25 +0000 https://www.investmentexecutive.com/?p=533005 Contest to seek solutions to help investors deal with risks, opportunities

The post IOSCO launches AI-focused hackathon appeared first on Investment Executive.

]]> FINRA launches consultation on arbitration https://www.investmentexecutive.com/news/finra-launches-consultation-on-arbitration/ Tue, 03 Mar 2026 14:17:45 +0000 https://www.investmentexecutive.com/?p=532995 Review will consider far-reaching reforms to dispute resolution mechanism

The post FINRA launches consultation on arbitration appeared first on Investment Executive.

]]> BCSC settles with director over alleged crypto fraud https://www.investmentexecutive.com/news/bcsc-settles-with-director-over-alleged-crypto-fraud/ Mon, 02 Mar 2026 21:36:18 +0000 https://www.investmentexecutive.com/?p=532983 Platform used investors' money to finance operations, fund withdrawals

The post BCSC settles with director over alleged crypto fraud appeared first on Investment Executive.

]]> 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

The post Class action against FSRA over PACE dismissed appeared first on Investment Executive.

]]>