regulation | Investment Executive https://www.investmentexecutive.com/tag/regulation/ Canada's news source for financial professionals Fri, 20 Mar 2026 19:10:31 +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 regulation | Investment Executive https://www.investmentexecutive.com/tag/regulation/ 32 32 Industry moves: National Bank scores BMO Nesbitt Burns team https://www.investmentexecutive.com/news/industry-moves-national-bank-scores-bmo-nesbitt-burns-team/ Fri, 20 Mar 2026 19:06:39 +0000 https://www.investmentexecutive.com/?p=534413 Plus, Wellington-Altus adds talent, OSFI's Gully headed for Basel Committee and more

The post Industry moves: National Bank scores BMO Nesbitt Burns team appeared first on Investment Executive.

]]> CFTC at the bat, in deal with MLB https://www.investmentexecutive.com/news/cftc-at-the-bat-in-deal-with-mlb/ Thu, 19 Mar 2026 16:11:55 +0000 https://www.investmentexecutive.com/?p=534284 Regulator reaches first MoU with a sports league to protect market integrity

The post CFTC at the bat, in deal with MLB appeared first on Investment Executive.

]]> Canadian ETF Association pushes for reforms in light of ‘tsunami on the horizon’ https://www.investmentexecutive.com/news/canadian-etf-association-pushes-for-reforms-in-light-of-tsunami-on-the-horizon/ Mon, 02 Mar 2026 17:10:51 +0000 https://www.investmentexecutive.com/?p=532815 Group warns that surge of ETF share class launches in the U.S. could threaten Canada's industry

The post Canadian ETF Association pushes for reforms in light of ‘tsunami on the horizon’ appeared first on Investment Executive.

]]> Canadian Lenders Association acquires regulatory tech body https://www.investmentexecutive.com/news/canadian-lenders-association-acquires-regulatory-tech-body/ Wed, 18 Feb 2026 20:28:46 +0000 https://www.investmentexecutive.com/?p=532028 Merger reflects the regulatory environment's complexity, need for a unified approach: CRTA

The post Canadian Lenders Association acquires regulatory tech body appeared first on Investment Executive.

]]> B.C. regulator consults on new restricted insurance agency rules https://www.investmentexecutive.com/news/icbc-consults-on-new-restricted-insurance-agency-rules/ Wed, 11 Feb 2026 19:01:09 +0000 https://www.investmentexecutive.com/?p=531505 Changes to impact 18 business types that incidentally sell insurance in B.C.

The post B.C. regulator consults on new restricted insurance agency rules appeared first on Investment Executive.

]]> ESMA, ASIC face change at the top https://www.investmentexecutive.com/news/esma-asic-face-change-at-the-top/ Tue, 03 Feb 2026 19:24:10 +0000 https://www.investmentexecutive.com/?p=530964 Regulators in Europe, Australia welcoming new leaders

The post ESMA, ASIC face change at the top appeared first on Investment Executive.

]]> ETF series under scrutiny https://www.investmentexecutive.com/news/industry-news/etf-series-under-scrutiny/ Wed, 31 Dec 2025 06:42:43 +0000 https://www.investmentexecutive.com/?p=527225 Fee fairness and disclosure, potential for conflicts of interest among issues in CSA consultation

The post ETF series under scrutiny appeared first on Investment Executive.

]]> Federal banking regulator holds domestic stability buffer at 3.5% https://www.investmentexecutive.com/news/federal-banking-regulator-holds-domestic-stability-buffer-at-3-5/ Thu, 18 Dec 2025 14:54:13 +0000 https://www.investmentexecutive.com/?p=528070 OSFI says household debt relative to income remains high, but stable

The post Federal banking regulator holds domestic stability buffer at 3.5% appeared first on Investment Executive.

]]> Swiss prosecutors target Credit Suisse, now part of UBS, over money laundering case https://www.investmentexecutive.com/news/swiss-prosecutors-target-credit-suisse-now-part-of-ubs-over-money-laundering-case/ Mon, 01 Dec 2025 15:42:36 +0000 https://www.investmentexecutive.com/?p=526645 Probe related to Mozambique loans was opened in 2020

The post Swiss prosecutors target Credit Suisse, now part of UBS, over money laundering case appeared first on Investment Executive.

]]> Fraudsters seen as ‘ten steps ahead’: Global Risk Institute https://www.investmentexecutive.com/news/industry-news/fraudsters-seen-as-ten-steps-ahead-global-risk-institute/ Fri, 14 Nov 2025 18:11:01 +0000 https://www.investmentexecutive.com/?p=525379 While financial institutions face barriers to AI adoption, criminals have embraced it

The post Fraudsters seen as ‘ten steps ahead’: Global Risk Institute appeared first on Investment Executive.

]]>