Settlement | Investment Executive https://www.investmentexecutive.com/tag/settlement/ Canada's news source for financial professionals Tue, 17 Mar 2026 15:26:08 +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 Settlement | Investment Executive https://www.investmentexecutive.com/tag/settlement/ 32 32 MX adopts new compliance remediation process https://www.investmentexecutive.com/news/mx-adopts-new-compliance-remediation-process/ Mon, 16 Mar 2026 19:27:30 +0000 https://www.investmentexecutive.com/?p=533925 Initiative seeks greater efficiency, transparency for regulatory misdemeanors

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]]> 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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]]> TSX adopts streamlined dividend reporting https://www.investmentexecutive.com/news/tsx-adopts-streamlined-dividend-reporting/ Thu, 29 Jan 2026 19:38:07 +0000 https://www.investmentexecutive.com/?p=530629 Amid industry pushback, exchange scraps plan to increase notice requirements

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]]> As U.K. gears up for T+1, industry budgets lag https://www.investmentexecutive.com/news/as-u-k-gears-up-for-t1-industry-budgets-lag/ Mon, 26 Jan 2026 19:58:26 +0000 https://www.investmentexecutive.com/?p=530268 Awareness of transition is growing, but funding needs to follow: report

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]]> OSC plans payout to victims of binary options scheme https://www.investmentexecutive.com/news/osc-plans-payout-to-victims-of-binary-options-scheme/ Fri, 16 Jan 2026 21:31:51 +0000 https://www.investmentexecutive.com/?p=529646 Court appoints BDO to administer claims from investors

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]]> MX proposes changes to enforcement https://www.investmentexecutive.com/news/mx-proposes-changes-to-enforcement/ Thu, 18 Dec 2025 14:31:11 +0000 https://www.investmentexecutive.com/?p=528041 Exchange to drop "minor violation" process, add new remediation function

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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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]]> Court orders AMF tribunal to consider settlement https://www.investmentexecutive.com/news/court-orders-amf-tribunal-to-consider-settlement/ Tue, 18 Nov 2025 18:36:55 +0000 https://www.investmentexecutive.com/?p=525700 Adjudicator declined to review settlement before long enforcement hearing

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]]> TD Bank settles human rights complaint by B.C. Muslim-Indigenous man https://www.investmentexecutive.com/news/td-bank-settles-human-rights-complaint-by-b-c-muslim-indigenous-man/ Mon, 17 Nov 2025 15:10:14 +0000 https://www.investmentexecutive.com/?p=525591 The monetary values of the settlement haven't been made public

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]]> SIFMA surveys Treasury clearing readiness https://www.investmentexecutive.com/news/from-the-regulators/sifma-surveys-treasury-clearing-readiness/ Mon, 10 Nov 2025 22:17:05 +0000 https://www.investmentexecutive.com/?p=525104 North American firms lead Europe and Asia in preparations

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