Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ Canada's news source for financial professionals Wed, 25 Mar 2026 21:41:32 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 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 Wealthsimple gets regulatory green light to get in on prediction markets https://www.investmentexecutive.com/news/wealthsimple-gets-regulatory-green-light-to-get-in-on-prediction-markets/ Wed, 25 Mar 2026 21:41:32 +0000 https://www.investmentexecutive.com/?p=534843 It's the second firm in Canada to receive approval to offer futures and forecast contracts

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]]> Trailer fees in FCA’s crosshairs once again https://www.investmentexecutive.com/news/trailer-fees-in-fcas-crosshairs-once-again/ Wed, 25 Mar 2026 18:48:14 +0000 https://www.investmentexecutive.com/?p=534794 Concerns about investor harm arise as trailers persist, despite 2012 ban

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]]> Firm failed to disclose conflict in asset allocation: SEC https://www.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

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]]> SEC settles case against VC fund adviser https://www.investmentexecutive.com/news/sec-settles-case-against-vc-fund-adviser/ Tue, 24 Mar 2026 18:38:25 +0000 https://www.investmentexecutive.com/?p=534583 Regulator alleged US$14 million overcharging, settles for US$150,000 penalty

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]]> SEC wraps insider trading case https://www.investmentexecutive.com/news/from-the-regulators/sec-wraps-insider-trading-case/ Tue, 24 Mar 2026 09:11:15 +0000 https://www.investmentexecutive.com/?p=534564 Enforcement case concluded against man convicted of insider trading

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]]> Relaxing U.S. banks’ capital, a negative: Moody’s https://www.investmentexecutive.com/news/relaxing-u-s-banks-capital-a-negative-moodys/ Mon, 23 Mar 2026 19:56:31 +0000 https://www.investmentexecutive.com/?p=534556 Regulators' proposals would lower banks' risk-based capital requirements

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]]> Fraudster in U.S. jail deserves logistical support: court https://www.investmentexecutive.com/news/fraudster-in-u-s-jail-deserves-logistical-support-court/ Mon, 23 Mar 2026 13:17:10 +0000 https://www.investmentexecutive.com/?p=534426 Request for state-appointed legal counsel denied by Ontario appeal court

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]]> Broker-turned-finfluencer-turned-fraudster pleads guilty https://www.investmentexecutive.com/news/broker-turned-finfluencer-turned-fraudster-pleads-guilty/ Fri, 20 Mar 2026 18:04:06 +0000 https://www.investmentexecutive.com/?p=534421 Ex-rep posed as a successful trader online, duping investors

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]]> Appeal court upholds BCSC collection effort https://www.investmentexecutive.com/news/appeal-court-upholds-bcsc-collection-effort/ Fri, 20 Mar 2026 17:57:02 +0000 https://www.investmentexecutive.com/?p=534417 Payments from LIFs can face forfeiture, court finds

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]]> CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

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