Investor protection | Investment Executive https://www.investmentexecutive.com/tag/investor-protection/ Canada's news source for financial professionals Tue, 14 Apr 2026 19:23:44 +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 Cryptoqueen’s victims may get some money back https://www.investmentexecutive.com/news/cryptoqueen-victims-may-get-some-money-back/ Tue, 14 Apr 2026 19:23:16 +0000 https://www.investmentexecutive.com/?p=536291 U.S. DoJ has US$40 million to pay back from US$4-billion scam

The post Cryptoqueen’s victims may get some money back appeared first on Investment Executive.

]]> FCA seeks move from open banking to open finance https://www.investmentexecutive.com/news/fca-seeks-move-from-open-banking-to-open-finance/ Tue, 14 Apr 2026 19:15:01 +0000 https://www.investmentexecutive.com/?p=536286 Regulator sets out vision for fostering financial innovation

The post FCA seeks move from open banking to open finance appeared first on Investment Executive.

]]> Court upholds class-action certification decision https://www.investmentexecutive.com/news/court-upholds-class-action-certification-decision/ Tue, 14 Apr 2026 19:10:29 +0000 https://www.investmentexecutive.com/?p=536279 Lawsuit makes claims on behalf of primary, secondary market investors

The post Court upholds class-action certification decision appeared first on Investment Executive.

]]> SEC gives crypto firms guidance on wallets https://www.investmentexecutive.com/news/sec-gives-crypto-firms-guidance-on-wallets/ Mon, 13 Apr 2026 20:46:13 +0000 https://www.investmentexecutive.com/?p=536187 Regulator details how firms can avoid triggering registration

The post SEC gives crypto firms guidance on wallets appeared first on Investment Executive.

]]> Fraud conviction that followed initial acquittal faces new appeal https://www.investmentexecutive.com/news/fraud-conviction-that-followed-initial-acquittal-faces-new-appeal/ Mon, 13 Apr 2026 18:37:54 +0000 https://www.investmentexecutive.com/?p=536178 Court to hear appeal from man convicted after OSC appealed his acquittal

The post Fraud conviction that followed initial acquittal faces new appeal appeared first on Investment Executive.

]]> NBF sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/nbf-sanctioned-for-supervisory-shortcomings/ Mon, 13 Apr 2026 15:50:35 +0000 https://www.investmentexecutive.com/?p=536041 Firm failed to pay attention to red flags in rep's trading activity

The post NBF sanctioned for supervisory shortcomings appeared first on Investment Executive.

]]> OSC secures ban on Canadian convicted in U.S. https://www.investmentexecutive.com/news/osc-secures-ban-on-canadian-convicted-in-u-s/ Mon, 13 Apr 2026 13:33:25 +0000 https://www.investmentexecutive.com/?p=536121 Hedge fund trader pleaded guilty in market manipulation case

The post OSC secures ban on Canadian convicted in U.S. appeared first on Investment Executive.

]]> For whistleblowers, it matters who knocks first https://www.investmentexecutive.com/news/for-whistleblowers-it-matters-who-knocks-first/ Mon, 13 Apr 2026 13:28:12 +0000 https://www.investmentexecutive.com/?p=536105 Tipster denied payout after first alerting media, prompting SEC investigation

The post For whistleblowers, it matters who knocks first appeared first on Investment Executive.

]]> OSC seeks settlement with ATS over trade controls https://www.investmentexecutive.com/news/osc-seeks-settlement-with-ats-over-trade-controls/ Fri, 10 Apr 2026 20:33:32 +0000 https://www.investmentexecutive.com/?p=536100 Tribunal to consider settlement with Liquidnet over allegedly faulty controls

The post OSC seeks settlement with ATS over trade controls appeared first on Investment Executive.

]]> Adjudicator in OSC vs. Purpose case steps down https://www.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

The post Adjudicator in OSC vs. Purpose case steps down appeared first on Investment Executive.

]]>