Regulatory reform – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 11 Apr 2024 19:46:24 +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 reform – Investment Executive https://www.investmentexecutive.com 32 32 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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]]> FCA to revive research bundling https://www.investmentexecutive.com/news/from-the-regulators/fca-to-revive-research-bundling/ Wed, 10 Apr 2024 19:26:01 +0000 https://www.investmentexecutive.com/?p=483499 Regulator aims to ease asset managers' access to investment research

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]]> ESMA grapples with securities financing https://www.investmentexecutive.com/news/from-the-regulators/esma-grapples-with-securities-financing/ Tue, 09 Apr 2024 19:19:05 +0000 https://www.investmentexecutive.com/?p=483419 Regulator publishes first examination of opaque market segment

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]]> U.S. bank consolidation on pause, for now https://www.investmentexecutive.com/news/research-and-markets/u-s-bank-consolidation-on-pause-for-now/ Tue, 09 Apr 2024 19:10:06 +0000 https://www.investmentexecutive.com/?p=483429 Merger activity subdued, but the benefits of scale only continue to grow

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]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

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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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]]> ESMA adding ESG factors to rating agency rules https://www.investmentexecutive.com/news/from-the-regulators/esma-adding-esg-factors-to-rating-agency-rules/ Tue, 02 Apr 2024 18:32:20 +0000 https://www.investmentexecutive.com/?p=483031 Proposals aim to improve quality, transparency of credit ratings

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]]> CIRO gets clean bill of health from CSA https://www.investmentexecutive.com/news/from-the-regulators/ciro-gets-clean-bill-of-health-from-csa/ Thu, 28 Mar 2024 20:34:10 +0000 https://www.investmentexecutive.com/?p=482950 First oversight review finds SRO complying with recognition order

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]]> Ontario budget voices support for OBSI reform https://www.investmentexecutive.com/news/from-the-regulators/ontario-budget-voices-support-for-obsi-reform/ Tue, 26 Mar 2024 20:03:44 +0000 https://www.investmentexecutive.com/?p=482762 Government endorses OSC's investor protection, capital formation efforts

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