Mobile applications and devices – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 29 Jan 2024 19:38:00 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mobile applications and devices – Investment Executive https://www.investmentexecutive.com 32 32 Rep fined, banned in CIRO settlement https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-banned-in-ciro-settlement/ Mon, 29 Jan 2024 19:38:00 +0000 https://www.investmentexecutive.com/?p=479396 Former rep admitted to misappropriation

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]]> Brokerage app Webull launches in Canada https://www.investmentexecutive.com/news/industry-news/brokerage-app-webull-launches-in-canada/ Tue, 02 Jan 2024 14:00:48 +0000 https://www.investmentexecutive.com/?p=477873 Discount brokerage offers Canadian and U.S. equities

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]]> U.K.’s FCA issues guidance on new crypto rules https://www.investmentexecutive.com/news/from-the-regulators/u-k-s-fca-issues-guidance-on-new-crypto-rules/ Thu, 02 Nov 2023 20:07:52 +0000 https://www.investmentexecutive.com/?p=474462 Regulator aims to facilitate compliance with new regime

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]]> Former rep fined, banned by CIRO https://www.investmentexecutive.com/news/from-the-regulators/former-rep-fined-banned-by-ciro/ Wed, 01 Nov 2023 19:56:17 +0000 https://www.investmentexecutive.com/?p=474343 Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations

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]]> SEC targets best-interest rules in broker reviews https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-best-interest-rules-in-broker-reviews/ Mon, 16 Oct 2023 18:40:37 +0000 https://www.investmentexecutive.com/?p=473386 Regulator's exam division sets compliance priorities for 2024

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]]> SEC, CFTC hit delete on firms’ WhatsApp, texting https://www.investmentexecutive.com/news/from-the-regulators/sec-cftc-hit-delete-on-firms-whatsapp-texting/ Fri, 29 Sep 2023 16:01:58 +0000 https://www.investmentexecutive.com/?p=472411 Another 10 firms sanctioned for extensive recordkeeping violations

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]]> BMO, Wall Street firms sanctioned for app violations https://www.investmentexecutive.com/news/from-the-regulators/bmo-wall-street-firms-sanctioned-for-app-violations/ Tue, 08 Aug 2023 15:40:56 +0000 https://www.investmentexecutive.com/?p=469784 Regulators fined firms a total US$549 million for record-keeping failures

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]]> Robinhood sanctioned for 2020 outages https://www.investmentexecutive.com/news/from-the-regulators/robinhood-sanctioned-for-2020-outages/ Thu, 06 Apr 2023 19:38:42 +0000 https://www.investmentexecutive.com/?p=463579 Firm fined for operational failures, service and supervisory issues

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]]> SEC reveals compliance review priorities https://www.investmentexecutive.com/news/from-the-regulators/sec-reveals-compliance-review-priorities/ Tue, 07 Feb 2023 22:28:59 +0000 https://www.investmentexecutive.com/?p=459993 Conduct standards, crypto and cybersecurity feature in exam plans for 2023

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]]> Retail investors are evolving https://www.investmentexecutive.com/news/research-and-markets/retail-investors-are-evolving/ Fri, 16 Dec 2022 15:07:34 +0000 https://www.investmentexecutive.com/?p=457670 Younger demographic has different investing habits and preferences, FINRA research finds

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