Registration – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 09 May 2024 17:09:16 +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 Registration – Investment Executive https://www.investmentexecutive.com 32 32 OSC tests new early-stage exemptions https://www.investmentexecutive.com/news/from-the-regulators/osc-tests-new-early-stage-exemptions/ Thu, 09 May 2024 17:09:16 +0000 https://www.investmentexecutive.com/?p=485603 Regulator adopts new exemptions designed to help startups raise capital

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]]> Former fund rep sanctioned for exceeding registration https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-exceeding-registration/ Tue, 07 May 2024 20:47:38 +0000 https://www.investmentexecutive.com/?p=485422 Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

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]]> CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> Court certifies crypto class action against Binance https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-crypto-class-action-against-binance/ Mon, 22 Apr 2024 18:06:31 +0000 https://www.investmentexecutive.com/?p=484473 Suit alleges that retail investor trades violated securities law

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]]> OSC hikes fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-hikes-fees-for-crypto-firms/ Fri, 19 Apr 2024 16:17:50 +0000 https://www.investmentexecutive.com/?p=484368 Regulator adopts new charges to cover added costs on overseeing crypto sector

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> Investors share modest recovery following former rep’s unregistered trading https://www.investmentexecutive.com/news/from-the-regulators/investors-share-modest-recovery-following-former-reps-unregistered-trading/ Wed, 10 Apr 2024 19:03:04 +0000 https://www.investmentexecutive.com/?p=483496 BCSC returns nearly $40,000 to investors who lost much more

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]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

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]]> FCAA sanctions real estate scheme operators https://www.investmentexecutive.com/news/from-the-regulators/fcaa-sanctions-real-estate-scheme-operators/ Fri, 05 Apr 2024 22:02:22 +0000 https://www.investmentexecutive.com/?p=483303 Settlement includes 20-year market bans, monetary sanctions

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]]> Coinbase Canada gets CSA registration https://www.investmentexecutive.com/news/from-the-regulators/coinbase-canada-gets-csa-registration/ Thu, 04 Apr 2024 17:58:46 +0000 https://www.investmentexecutive.com/?p=483157 Crypto firm to pursue full dealer and ATS registration, plus SRO membership

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