Securities regulations | Investment Executive https://www.investmentexecutive.com/tag/securities-regulations/ Canada's news source for financial professionals Wed, 26 Nov 2025 18:04:56 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities regulations | Investment Executive https://www.investmentexecutive.com/tag/securities-regulations/ 32 32 ISS revises 2026 proxy voting policies https://www.investmentexecutive.com/news/iss-revises-2026-proxy-voting-policies/ Wed, 26 Nov 2025 18:04:56 +0000 https://www.investmentexecutive.com/?p=526382 Firm tweaks guidance on executive compensation, shareholder proposals

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]]> The time is right for harmonized securities regulation https://www.investmentexecutive.com/newspaper_/comment-insight/the-time-is-right-for-harmonized-securities-regulation/ Tue, 10 Jun 2025 15:02:00 +0000 https://www.investmentexecutive.com/?p=511332 Editorial: In a letter to the CSA, trade groups recommend 5 initiatives to harmonize securities regulations across the country

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]]> Why advisors struggle with client account statements — and how firms are adapting https://www.investmentexecutive.com/newspaper_/brokerage-report-card/why-advisors-struggle-with-client-account-statements-and-how-firms-are-adapting/ Thu, 05 Jun 2025 12:55:35 +0000 https://www.investmentexecutive.com/?p=511712 From working groups to consulting with regulators, brokerages want to help smooth client conversations

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]]> OSC deal opens doors in Asia for fund managers https://www.investmentexecutive.com/news/from-the-regulators/osc-deal-opens-doors-in-asia-for-fund-managers/ Wed, 14 May 2025 15:40:24 +0000 https://www.investmentexecutive.com/?p=509799 Agreement between Ontario and Hong Kong aims to ease market access

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]]> Stablecoins probably aren’t securities either: SEC https://www.investmentexecutive.com/news/from-the-regulators/stablecoins-probably-arent-securities-either-sec/ Fri, 04 Apr 2025 21:13:02 +0000 https://www.investmentexecutive.com/?p=506365 The cryptoassets are used for commercial purposes, not as investments, regulator says

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]]> Industry moves this week https://www.investmentexecutive.com/news/industry-news/industry-moves-this-week-91/ Fri, 07 Mar 2025 21:55:46 +0000 https://www.investmentexecutive.com/?p=504132 Robert Bard becomes head of Cardinal Point's wealth management operations in Montreal, following acquisition of Dorchester

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]]> Industry applauds delay in SEC clearing rules https://www.investmentexecutive.com/news/from-the-regulators/industry-applauds-delay-in-sec-clearing-rules/ Thu, 27 Feb 2025 21:55:48 +0000 https://www.investmentexecutive.com/?p=503434 Move allows more time to deal with operational, regulatory issues

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]]> OSC agenda consultation is underway, and it’s packed https://www.investmentexecutive.com/newspaper_/news-newspaper/osc-agenda-consultation-is-underway-and-its-packed/ Fri, 07 Feb 2025 20:20:00 +0000 https://www.investmentexecutive.com/?p=501705 Junk fees, open banking and more proposed for the regulator’s next fiscal year

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]]> G20 reforms working, but risks remain: FSB https://www.investmentexecutive.com/news/from-the-regulators/g20-reforms-working-but-risks-remain-fsb/ Wed, 22 Jan 2025 19:46:46 +0000 https://www.investmentexecutive.com/?p=500738 Review examines post-crisis response in securitization markets, signals CLO concerns

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]]> ASC issues permanent ban on man who promoted fake legal services startup https://www.investmentexecutive.com/news/from-the-regulators/asc-issues-permanent-ban-on-man-who-promoted-fake-legal-services-startup/ Fri, 13 Dec 2024 20:52:26 +0000 https://www.investmentexecutive.com/?p=498538 Alberta man stole more than $500,000 from vulnerable investors

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