Regulatory reform | Investment Executive https://www.investmentexecutive.com/tag/regulatory-reform/ Canada's news source for financial professionals Thu, 19 Mar 2026 18:40:16 +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 Regulatory reform | Investment Executive https://www.investmentexecutive.com/tag/regulatory-reform/ 32 32 CSA to test semi-annual reporting for venture market https://www.investmentexecutive.com/news/csa-to-test-semi-annual-reporting-for-venture-market/ Thu, 19 Mar 2026 18:37:27 +0000 https://www.investmentexecutive.com/?p=534291 Pilot project could lead to broader shift to less frequent reporting

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]]> IOSCO seeks improved oversight of OTC markets https://www.investmentexecutive.com/news/iosco-seeks-improved-oversight-of-otc-markets-2/ Thu, 19 Mar 2026 16:24:51 +0000 https://www.investmentexecutive.com/?p=534288 Regulators flag risk of buildup of large, opaque trading positions

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]]> 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

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]]> U.S. not abandoning money laundering fight: Fitch https://www.investmentexecutive.com/news/u-s-not-abandoning-money-laundering-fight-fitch/ Wed, 18 Mar 2026 18:25:28 +0000 https://www.investmentexecutive.com/?p=534169 Targets have changed, but AML controls not being relaxed

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]]> FCA seeks faster response to growing cyber threat https://www.investmentexecutive.com/news/fca-seeks-faster-response-to-growing-cyber-threat/ Wed, 18 Mar 2026 17:33:28 +0000 https://www.investmentexecutive.com/?p=534173 New rules aim to make incident reporting easier, amid rising systemic risk

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]]> SEC redefines crypto’s securities status https://www.investmentexecutive.com/news/sec-redefines-cryptos-securities-status/ Wed, 18 Mar 2026 13:39:21 +0000 https://www.investmentexecutive.com/?p=534073 Only tokenized securities count under new guidance that also clarifies landmark legal test

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]]> IOSCO revises guidance on issuers’ alt metrics https://www.investmentexecutive.com/news/iosco-revises-guidance-on-issuers-alt-metrics/ Tue, 17 Mar 2026 19:57:14 +0000 https://www.investmentexecutive.com/?p=534040 Regulators update policy on the use of non-GAAP financial measures

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]]> U.K. aims to help banks avoid liquidity crunch https://www.investmentexecutive.com/news/u-k-aims-to-help-banks-avoid-liquidity-crunch/ Tue, 17 Mar 2026 19:44:14 +0000 https://www.investmentexecutive.com/?p=534058 Proposals seek to ensure banks can cope with rapid liquidity events

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]]> SEC focuses OTC market rules https://www.investmentexecutive.com/news/sec-focuses-otc-market-rules/ Tue, 17 Mar 2026 19:01:12 +0000 https://www.investmentexecutive.com/?p=534052 Regulator seeks to limit brokers' OTC requirements to equities

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]]> FINRA reforms aim to ease burdens https://www.investmentexecutive.com/news/finra-reforms-aim-to-ease-burdens/ Mon, 16 Mar 2026 20:26:54 +0000 https://www.investmentexecutive.com/?p=533928 SRO's proposals seek to enhance regulatory efficiency

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