Know your client – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 12 Dec 2025 19:19:22 +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 Know your client – Investment Executive https://www.investmentexecutive.com 32 32 FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/uncategorized/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 FCA tackles U.K.’s large advice gap https://www.investmentexecutive.com/news/fca-tackles-u-k-s-large-advice-gap/ Thu, 11 Dec 2025 21:51:57 +0000 https://www.investmentexecutive.com/?p=527609 Crypto platform facilitated criminal activity: DoJ https://www.investmentexecutive.com/news/crypto-platform-facilitated-criminal-activity-doj/ Wed, 10 Dec 2025 20:05:35 +0000 https://www.investmentexecutive.com/?p=527442 Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 FINTRAC sanctions currency exchange https://www.investmentexecutive.com/news/fintrac-sanctions-currency-exchange/ Tue, 02 Dec 2025 17:25:16 +0000 https://www.investmentexecutive.com/?p=526764 FINTRAC sanctions Saskatchewan credit union https://www.investmentexecutive.com/news/fintrac-sanctions-saskatchewan-credit-union/ Thu, 27 Nov 2025 19:44:24 +0000 https://www.investmentexecutive.com/?p=526459 Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 RCMP seizes crypto platform, assets https://www.investmentexecutive.com/news/rcmp-seizes-crypto-platform-assets/ Fri, 19 Sep 2025 18:49:46 +0000 https://www.investmentexecutive.com/?p=520736 FINTRAC fines exempt market dealer https://www.investmentexecutive.com/news/fintrac-fines-exempt-market-dealer/ Thu, 18 Sep 2025 16:32:16 +0000 https://www.investmentexecutive.com/?p=520588 FINTRAC sanctions B.C. Lottery Corp. https://www.investmentexecutive.com/news/from-the-regulators/fintrac-sanctions-b-c-lottery-corp/ Thu, 28 Aug 2025 17:47:58 +0000 https://www.investmentexecutive.com/?p=518716