Mutual fund regulations | Investment Executive https://www.investmentexecutive.com/tag/mutual-fund-regulations/ Canada's news source for financial professionals Thu, 19 Mar 2026 20:26:26 +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 Mutual fund regulations | Investment Executive https://www.investmentexecutive.com/tag/mutual-fund-regulations/ 32 32 Supreme Court denies leave in mutual fund case https://www.investmentexecutive.com/news/supreme-court-denies-leave-in-mutual-fund-case/ Thu, 19 Mar 2026 20:21:15 +0000 https://www.investmentexecutive.com/?p=534328 Appeal denied in tax case that called for strict securities law compliance

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]]> No more dealer’s choice as IFSE shuts its doors https://www.investmentexecutive.com/news/industry-news/no-more-dealers-choice-as-ifse-shuts-its-doors-for-good/ Mon, 30 Jun 2025 13:17:57 +0000 https://www.investmentexecutive.com/?p=513987 With only one option for mutual fund proficiency, concerns arise among dealers, education providers

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]]> CSA contemplates ETF reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-contemplates-etf-reforms/ Thu, 19 Jun 2025 20:11:20 +0000 https://www.investmentexecutive.com/?p=513072 Paper proposes changes tailored to the unique features of ETFs

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]]> IOSCO adopts fund liquidity reforms https://www.investmentexecutive.com/news/from-the-regulators/iosco-adopts-fund-liquidity-reforms/ Mon, 26 May 2025 19:19:51 +0000 https://www.investmentexecutive.com/?p=510622 Policy recommendations and guidance aim to improve liquidity risk management

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]]> CSA sets rules of the road for crypto funds https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-rules-of-the-road-for-crypto-funds/ Thu, 17 Apr 2025 19:16:15 +0000 https://www.investmentexecutive.com/?p=507623 Regulators codify their approach to crypto funds in rules

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]]> CSA offers guidance on fund risk ratings https://www.investmentexecutive.com/news/from-the-regulators/csa-offers-guidance-on-fund-risk-ratings/ Thu, 17 Apr 2025 13:30:08 +0000 https://www.investmentexecutive.com/?p=507540 Many firms use discretion to set ratings, some lack policies, CSA finds

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]]> OSC rule codifies trailer fee relief https://www.investmentexecutive.com/news/from-the-regulators/osc-rule-codifies-trailer-fee-relief/ Thu, 03 Apr 2025 18:57:32 +0000 https://www.investmentexecutive.com/?p=506252 Measure allows trailer rebates to facilitate compliance with ban on paying trailers to discount brokers

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> ESMA consults on fund liquidity tool reforms https://www.investmentexecutive.com/news/from-the-regulators/esma-consults-on-fund-liquidity-tool-reforms/ Mon, 08 Jul 2024 18:50:29 +0000 https://www.investmentexecutive.com/?p=488973 European regulators aim to curb vulnerabilities revealed by March 2020 market stress

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]]> Fund managers need to spruce up IRCs https://www.investmentexecutive.com/news/from-the-regulators/fund-managers-need-to-spruce-up-ircs/ Thu, 21 Mar 2024 18:25:09 +0000 https://www.investmentexecutive.com/?p=482472 OSC, AMF call for freshening up fund governance

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