Registration | Investment Executive https://www.investmentexecutive.com/tag/registration/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:29:55 +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 Registration | Investment Executive https://www.investmentexecutive.com/tag/registration/ 32 32 Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> EMD exemption falls flat, CSA asks why https://www.investmentexecutive.com/news/emd-exemption-falls-flat-csa-asks-why/ Thu, 27 Nov 2025 19:52:35 +0000 https://www.investmentexecutive.com/?p=526475 Regulators seek feedback on initiative that sparked little activity

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]]> SEC’s crypto enthusiasm poses risks to investors: WFE https://www.investmentexecutive.com/news/secs-crypto-enthusiasm-poses-risks-to-investors-wfe/ Thu, 27 Nov 2025 18:19:50 +0000 https://www.investmentexecutive.com/?p=526449 Group calls on regulator to keep crypto relief focused, limited

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]]> Second jail term in Ponzi scheme: OSC https://www.investmentexecutive.com/news/second-jail-term-in-ponzi-scheme-osc/ Fri, 21 Nov 2025 19:48:17 +0000 https://www.investmentexecutive.com/?p=526064 Scheme promised investors high returns from algorithmic trading strategy

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]]> Court upholds tribunal’s findings in crypto case https://www.investmentexecutive.com/news/from-the-regulators/court-upholds-tribunals-findings-in-crypto-case/ Fri, 14 Nov 2025 12:00:40 +0000 https://www.investmentexecutive.com/?p=525407 Absent overriding error, panel's decisions should get deference, court says

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]]> CIRO awaiting CRA feedback on advisor corporations https://www.investmentexecutive.com/news/ciro-awaiting-cra-feedback-on-advisor-corporations/ Wed, 29 Oct 2025 17:34:55 +0000 https://www.investmentexecutive.com/?p=523998 SRO crafting model to allow reps to use personal corporations

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]]> BCSC settles with pair over unregistered activity https://www.investmentexecutive.com/news/bcsc-settles-with-pair-over-unregistered-activity/ Wed, 22 Oct 2025 19:33:31 +0000 https://www.investmentexecutive.com/?p=523351 Efforts to raise capital for cannabis company amounted to illegal distribution

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]]> OSC flags concerns with firms’ digital tactics https://www.investmentexecutive.com/news/osc-flags-concerns-with-firms-digital-tactics/ Wed, 22 Oct 2025 18:26:51 +0000 https://www.investmentexecutive.com/?p=523331 Firms using digital engagement practices for good and ill, review finds

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]]> BCSC to join CIRO registration delegation https://www.investmentexecutive.com/news/bcsc-to-join-ciro-registration-delegation/ Fri, 17 Oct 2025 17:11:23 +0000 https://www.investmentexecutive.com/?p=522904 Move would give SRO full responsibility for registering dealers, reps

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