Risk management | Investment Executive https://www.investmentexecutive.com/tag/risk-management/ Canada's news source for financial professionals Thu, 05 Mar 2026 21:02:01 +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 Risk management | Investment Executive https://www.investmentexecutive.com/tag/risk-management/ 32 32 Big banks’ blockchain test a mixed bag https://www.investmentexecutive.com/news/big-banks-blockchain-test-a-mixed-bag/ Thu, 05 Mar 2026 21:01:27 +0000 https://www.investmentexecutive.com/?p=533247 Project reveals how potential gains are offset by added risks, costs

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]]> Global banks, fund managers sheltered from conflict https://www.investmentexecutive.com/news/research-and-markets/global-banks-fund-managers-sheltered-from-conflict/ Wed, 04 Mar 2026 09:00:48 +0000 https://www.investmentexecutive.com/?p=533058 Financial sector most exposed to indirect economic fallout: DBRS

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]]> FCA to review U.K.’s new listing rules https://www.investmentexecutive.com/news/fca-to-review-u-k-s-new-listing-rules/ Tue, 03 Mar 2026 19:19:13 +0000 https://www.investmentexecutive.com/?p=533053 Regulator to reconsider diversification requirements for listed funds

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]]> Big Six agree on third-party risk management compliance framework https://www.investmentexecutive.com/news/industry-news/big-six-agree-on-third-party-risk-management-compliance-framework/ Mon, 02 Mar 2026 16:51:36 +0000 https://www.investmentexecutive.com/?p=532733 CanDeal to help pilot common solution to cut duplicative administrative, compliance tasks

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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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]]> ESMA sanctions trade reporting breaches https://www.investmentexecutive.com/uncategorized/esma-sanctions-trade-reporting-breaches/ Fri, 20 Feb 2026 11:00:24 +0000 https://www.investmentexecutive.com/?p=532189 Regulator levies record fine against Luxembourg-based firm

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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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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/fca-consults-on-crypto-rules-3/ Tue, 16 Dec 2025 21:07:42 +0000 https://www.investmentexecutive.com/?p=527876 U.K. regulator's proposals aim to support innovation while protecting consumers

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]]> ASX put shareholders before market, investors: ASIC https://www.investmentexecutive.com/news/from-the-regulators/asx-put-shareholders-before-market-investors-asic/ Mon, 15 Dec 2025 21:40:44 +0000 https://www.investmentexecutive.com/?p=527757 Exchange agrees to reforms, capital hit to address concerns raised by review

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]]> FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/news/from-the-regulators/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 Firm self-reported weaknesses in controls, beefed up compliance

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