Securities regulations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 29 Apr 2024 18:01:27 +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 Securities regulations – Investment Executive https://www.investmentexecutive.com 32 32 Emerge ETFs unitholder calls for greater regulatory oversight https://www.investmentexecutive.com/news/products/emerge-etfs-unitholder-calls-for-greater-regulatory-oversight/ Mon, 29 Apr 2024 18:00:37 +0000 https://www.investmentexecutive.com/?p=484911 Investor decries lack of communication throughout cease-trade order, and recommends increased due diligence when choosing funds

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]]> SEC pauses climate rule amid legal challenges https://www.investmentexecutive.com/news/from-the-regulators/sec-pauses-climate-rule-amid-legal-challenges/ Fri, 05 Apr 2024 16:03:22 +0000 https://www.investmentexecutive.com/?p=483241 The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit

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]]> What we’ve learned from the Emerge ETFs saga https://www.investmentexecutive.com/news/products/what-weve-learned-from-the-emerge-etfs-saga/ Mon, 25 Mar 2024 18:08:20 +0000 https://www.investmentexecutive.com/?p=482661 A year after an unprecedented cease-trade order, unitholders are still waiting for answers

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]]> How to improve confidence in ETFs https://www.investmentexecutive.com/news/products/how-to-improve-confidence-in-etfs/ Mon, 25 Mar 2024 18:07:44 +0000 https://www.investmentexecutive.com/?p=482672 There are practical steps to take following the Emerge Canada saga

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]]> SEC climate rule prompts a rush to sue https://www.investmentexecutive.com/news/from-the-regulators/sec-climate-rule-prompts-a-rush-to-sue/ Wed, 20 Mar 2024 20:01:28 +0000 https://www.investmentexecutive.com/?p=482445 Experts say companies are likely to prepare to comply anyway

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]]> Industry moves this week https://www.investmentexecutive.com/news/people/industry-moves-this-week-57/ Tue, 05 Mar 2024 18:15:32 +0000 https://www.investmentexecutive.com/?p=481551 The new Federation of Independent Dealers named its 2024 board leader and future focus

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]]> CIRO seeks new securities lending rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-new-securities-lending-rules/ Thu, 15 Feb 2024 20:05:41 +0000 https://www.investmentexecutive.com/?p=480591 Proposals aim to codify investor protections, enhance flexibility

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]]> UBS-Credit Suisse merger sparks calls for reform https://www.investmentexecutive.com/news/from-the-regulators/ubs-credit-suisse-merger-sparks-calls-for-reform/ Wed, 24 Jan 2024 14:25:24 +0000 https://www.investmentexecutive.com/?p=479186 Swiss financial regulator gets a new leader as it looks to boost scrutiny of the bank

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]]> OSC’s Kehoe will exit at the end of February https://www.investmentexecutive.com/news/people/oscs-kehoe-will-exit-at-the-end-of-february/ Tue, 23 Jan 2024 20:32:48 +0000 https://www.investmentexecutive.com/?p=479104 Leslie Byberg will oversee enforcement as the regulator looks for a new director

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]]> Industry moves this week https://www.investmentexecutive.com/news/people/industry-moves-this-week-52/ Tue, 19 Dec 2023 21:53:12 +0000 https://www.investmentexecutive.com/?p=477578 Joanna Rotenberg leaves Fidelity Investments, plus other moves

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