Regulatory reform | Investment Executive https://www.investmentexecutive.com/tag/regulatory-reform/ Canada's news source for financial professionals Fri, 27 Feb 2026 19:18:16 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 FCA finalizes rules for new advice regime https://www.investmentexecutive.com/news/fca-finalizes-rules-for-new-advice-regime/ Fri, 27 Feb 2026 19:18:16 +0000 https://www.investmentexecutive.com/?p=532855 Targeted support services intended to combat advice gap

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]]> ESMA consults on avoiding groupthink at financials https://www.investmentexecutive.com/news/esma-consults-on-avoiding-groupthink-at-financials/ Wed, 25 Feb 2026 20:36:23 +0000 https://www.investmentexecutive.com/?p=532589 Regulators review suitability guidance for industry management

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]]> CIRO calls for boost to independent director limits https://www.investmentexecutive.com/news/ciro-calls-for-boost-to-independent-director-limits/ Thu, 19 Feb 2026 20:58:25 +0000 https://www.investmentexecutive.com/?p=532156 SRO wants to give outside directors more time on the job

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]]> FSB launches review of crisis readiness https://www.investmentexecutive.com/news/fsb-launches-review-of-crisis-readiness/ Thu, 19 Feb 2026 18:12:50 +0000 https://www.investmentexecutive.com/?p=532148 Group aims to beef up preparations for systemic stress events

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]]> SEC proposes to ease fund reporting requirements https://www.investmentexecutive.com/news/sec-proposes-to-ease-fund-reporting-requirements/ Wed, 18 Feb 2026 20:31:42 +0000 https://www.investmentexecutive.com/?p=532017 Regulator aims to reduce burden by relaxing portfolio reporting rules

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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> FINRA to allow brokers to use return targets https://www.investmentexecutive.com/news/finra-to-allow-brokers-to-use-return-targets/ Wed, 11 Feb 2026 19:30:55 +0000 https://www.investmentexecutive.com/?p=531546 SRO crafts exception from ban on using performance projections

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]]> FCA alleges crypto platform breached new rules https://www.investmentexecutive.com/news/fca-alleges-crypto-platform-breached-new-rules/ Tue, 10 Feb 2026 20:22:47 +0000 https://www.investmentexecutive.com/?p=531439 U.K. agency brings first proceeding alleging illegal promotional activity

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]]> Europe’s new AML cop launches consultations https://www.investmentexecutive.com/news/europes-new-aml-cop-launches-consultations/ Mon, 09 Feb 2026 20:31:16 +0000 https://www.investmentexecutive.com/?p=531340 Agency seeks feedback on new due diligence standards, enforcement

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]]> Investor access to risky products a priority for IOSCO https://www.investmentexecutive.com/news/investor-access-to-risky-products-a-priority-for-iosco/ Mon, 09 Feb 2026 20:26:57 +0000 https://www.investmentexecutive.com/?p=531345 Regulators flag retail investor issues, market structure, resilience for 2026

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