retail investors | Investment Executive https://www.investmentexecutive.com/tag/retail-investors/ Canada's news source for financial professionals Tue, 03 Feb 2026 14:26:19 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png retail investors | Investment Executive https://www.investmentexecutive.com/tag/retail-investors/ 32 32 Fortress pair get five years, fined $24.4 million https://www.investmentexecutive.com/news/fortress-pair-get-five-years-fined-24-4-million/ Tue, 03 Feb 2026 14:21:55 +0000 https://www.investmentexecutive.com/?p=530892 Scheme targeted "mom and pop" investors, court said

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]]> U.K. regulator undertakes AI inquiry https://www.investmentexecutive.com/news/u-k-regulator-undertakes-ai-inquiry/ Tue, 27 Jan 2026 19:55:05 +0000 https://www.investmentexecutive.com/?p=530372 FCA review will examine expected impact of AI on retail financial markets

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]]> Investor sentiment slid last year, despite strong markets: survey https://www.investmentexecutive.com/news/industry-news/investor-sentiment-slid-last-year-despite-strong-markets-survey/ Wed, 21 Jan 2026 17:23:42 +0000 https://www.investmentexecutive.com/?p=529903 44% of respondents felt negative about their investments, up from 32% in 2024

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]]> Alt managers’ outlook stable, despite risks: Fitch https://www.investmentexecutive.com/uncategorized/alt-managers-outlook-stable-despite-risks-fitch/ Wed, 21 Jan 2026 13:00:55 +0000 https://www.investmentexecutive.com/?p=529865 Investment climate challenging, but M&A rebound to boost deals

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]]> ASIC review flags compliance issues in CFD sector https://www.investmentexecutive.com/news/asic-review-flags-compliance-issues-in-cfd-sector/ Tue, 20 Jan 2026 19:59:05 +0000 https://www.investmentexecutive.com/?p=529839 Aussie regulator reports A$40 million returned to investors as part of review

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

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]]> FCA reforms aim to amp up retail risk-taking https://www.investmentexecutive.com/news/fca-reforms-aim-to-amp-up-retail-risk-taking/ Mon, 08 Dec 2025 20:28:10 +0000 https://www.investmentexecutive.com/?p=527232 Disclosure rules eased, lines between pro, retail investors redrawn

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]]> ESMA targets retail conflicts of interest https://www.investmentexecutive.com/news/esma-targets-retail-conflicts-of-interest/ Wed, 03 Dec 2025 20:05:18 +0000 https://www.investmentexecutive.com/?p=526916 Compliance review will examine industry conflicts with investors' interests

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]]> New ATS promises trading innovation https://www.investmentexecutive.com/news/new-ats-promises-trading-innovation/ Fri, 21 Nov 2025 19:40:49 +0000 https://www.investmentexecutive.com/?p=526105 Trading venue plans to offer fractional trading, extended hours

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