regulation – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 03 May 2024 21:48:43 +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 regulation – Investment Executive https://www.investmentexecutive.com 32 32 OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

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]]> FSRA chief tapped for Ontario Energy Board https://www.investmentexecutive.com/news/from-the-regulators/fsra-chief-tapped-for-ontario-energy-board/ Fri, 03 May 2024 19:02:57 +0000 https://www.investmentexecutive.com/?p=485173 Proposed appointment still needs to be confirmed by legislative committee

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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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]]> Title protection in Canada must put consumers first https://www.investmentexecutive.com/inside-track_/tashia-batstone/title-protection-in-canada-must-put-consumers-first/ Thu, 25 Apr 2024 20:00:15 +0000 https://www.investmentexecutive.com/?p=484786 Opinion: To provide clarity and protection to the public, the way forward requires transparency

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]]> FSB adopts standards for counterparty failures https://www.investmentexecutive.com/news/from-the-regulators/fsb-adopts-standards-for-counterparty-failures/ Thu, 25 Apr 2024 17:58:37 +0000 https://www.investmentexecutive.com/?p=484768 Global policy group calls for toolbox approach to CCP resolution

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]]> Fund costs fell after CRM2 https://www.investmentexecutive.com/news/from-the-regulators/fund-costs-fell-after-crm2/ Thu, 25 Apr 2024 15:05:56 +0000 https://www.investmentexecutive.com/?p=484748 CSA research details the evolution of fund costs in the face of transparency reforms

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]]> Wall Street banks see brighter capital markets https://www.investmentexecutive.com/news/research-and-markets/wall-street-banks-see-brighter-capital-markets/ Mon, 22 Apr 2024 20:35:41 +0000 https://www.investmentexecutive.com/?p=484506 A rebound in investment banking represents a ray of hope for sector

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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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]]> CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

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]]> FSRA disciplinary disclosure faces legal challenge https://www.investmentexecutive.com/news/from-the-regulators/fsra-disciplinary-disclosure-faces-legal-challenge/ Thu, 18 Apr 2024 20:07:19 +0000 https://www.investmentexecutive.com/?p=484297 Ontario court allows bid for judicial review of enforcement practices

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