Regulatory burden – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 14 May 2024 21:29:02 +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 Regulatory burden – Investment Executive https://www.investmentexecutive.com 32 32 Court rejects challenge to SEC’s ESG disclosure rule https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-challenge-to-secs-esg-disclosure-rule/ Tue, 14 May 2024 21:29:02 +0000 https://www.investmentexecutive.com/?p=485905 States failed to establish standing to oppose the rule

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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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]]> 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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]]> 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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]]> U.K. consults on a digital securities sandbox https://www.investmentexecutive.com/news/from-the-regulators/u-k-consults-on-a-digital-securities-sandbox/ Wed, 03 Apr 2024 17:55:49 +0000 https://www.investmentexecutive.com/?p=483100 Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

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]]> U.S. bank M&A weak amid tougher scrutiny https://www.investmentexecutive.com/news/research-and-markets/u-s-bank-ma-weak-amid-tougher-scrutiny/ Wed, 03 Apr 2024 17:45:08 +0000 https://www.investmentexecutive.com/?p=483097 Consolidation on hold as valuations sag, regulatory oversight intensifies

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]]> CIRO seeks new securities lending rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-new-securities-lending-rules/ Thu, 15 Feb 2024 20:05:41 +0000 https://www.investmentexecutive.com/?p=480591 Proposals aim to codify investor protections, enhance flexibility

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]]> Shift to advice boosting brokers: Fitch https://www.investmentexecutive.com/news/research-and-markets/shift-to-advice-boosting-brokers-fitch/ Tue, 13 Feb 2024 22:07:26 +0000 https://www.investmentexecutive.com/?p=480468 Transition to be aided by expanding fiduciary requirements

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]]> CSA adopts electronic access model for company prospectuses https://www.investmentexecutive.com/news/from-the-regulators/csa-adopts-electronic-access-model-for-company-prospectuses/ Thu, 11 Jan 2024 19:12:54 +0000 https://www.investmentexecutive.com/?p=478487 Move aims to reduce the burden of printing and mailing disclosures to investors

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]]> Cutting consultations won’t cut red tape: IIAC https://www.investmentexecutive.com/news/from-the-regulators/cutting-consultations-wont-cut-red-tape-iiac/ Fri, 01 Dec 2023 17:14:22 +0000 https://www.investmentexecutive.com/?p=476383 Trade group pushes back on Ontario's plan to shorten regulatory comment periods

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