Outside business activities | Investment Executive https://www.investmentexecutive.com/tag/outside-business-activities/ Canada's news source for financial professionals Fri, 28 Nov 2025 20:59:28 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Outside business activities | Investment Executive https://www.investmentexecutive.com/tag/outside-business-activities/ 32 32 Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> Rep throws gutter ball on disclosure https://www.investmentexecutive.com/news/from-the-regulators/rep-throws-gutter-ball-on-disclosure/ Wed, 24 Sep 2025 18:36:29 +0000 https://www.investmentexecutive.com/?p=521069 Failing to reveal clients' involvement in bowling businesses ends in sanctions

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]]> Fund reps sanctioned over conflicts https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-sanctioned-over-conflicts/ Fri, 20 Jun 2025 21:12:49 +0000 https://www.investmentexecutive.com/?p=513252 Reps fined, banned for personal financial dealings with clients

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]]> CIRO sanctions opaque offshore dealings https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-opaque-offshore-dealings/ Tue, 29 Apr 2025 13:36:02 +0000 https://www.investmentexecutive.com/?p=508276 Exec failed to disclose dealings, dealer ignored red flags, SRO alleged

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]]> Former fund rep fined, banned over failed venture https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-over-failed-venture/ Wed, 02 Apr 2025 20:40:17 +0000 https://www.investmentexecutive.com/?p=506150 Rep lost money alongside clients in unapproved outside investment

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]]> Ex-fund rep used online brokers with clients https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-used-online-brokers-with-clients/ Mon, 09 Dec 2024 20:15:52 +0000 https://www.investmentexecutive.com/?p=498196 Rep circumvented registration limits to trade wider range of securities

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]]> Former fund rep sanctioned for SRO rule breaches https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Rep had clients invest in, failed to disclose, his side hustles

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]]> Tribunal rejects rep’s appeal of CIRO rulings https://www.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-reps-appeal-of-ciro-rulings/ Thu, 24 Oct 2024 22:03:53 +0000 https://www.investmentexecutive.com/?p=495461 Acts in furtherance of a trade violated securities rules

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]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

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]]> FINRA sees deepening connections to crypto https://www.investmentexecutive.com/news/from-the-regulators/finra-sees-deepening-connections-to-crypto/ Tue, 13 Aug 2024 19:41:28 +0000 https://www.investmentexecutive.com/?p=491017 Much of the industry's involvement may be outside the SRO's perimeter

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