From the Regulators – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 22:16:11 +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 From the Regulators – Investment Executive https://www.investmentexecutive.com 32 32 Breaching BCSC freeze order lands man in jail https://www.investmentexecutive.com/news/from-the-regulators/breaching-bcsc-freeze-order-lands-man-in-jail/ Fri, 20 Dec 2024 22:16:11 +0000 https://www.investmentexecutive.com/?p=499134 Regulator found bank accounts frozen during an investigation had been depleted

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]]> Tribunal sets sanctions in record crypto fraud https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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]]> TSX proposes trading rule reforms https://www.investmentexecutive.com/news/from-the-regulators/tsx-proposes-trading-rule-reforms/ Fri, 20 Dec 2024 19:44:41 +0000 https://www.investmentexecutive.com/?p=499065 Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses

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]]> FINRA orders restitution to fund investors https://www.investmentexecutive.com/news/from-the-regulators/finra-orders-restitution-to-fund-investors/ Fri, 20 Dec 2024 18:11:42 +0000 https://www.investmentexecutive.com/?p=499055 Firms failed to ensure that investors got fund fee rebates, waivers

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]]> Archegos founder gets 18-year sentence in the U.S. https://www.investmentexecutive.com/news/from-the-regulators/archegos-founder-gets-18-year-sentence-in-the-u-s/ Fri, 20 Dec 2024 18:03:32 +0000 https://www.investmentexecutive.com/?p=499049 Bill Hwang sentenced over hedge fund collapse that torched Wall Street

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]]> U.S. trade reporting violations spark sanctions https://www.investmentexecutive.com/news/from-the-regulators/u-s-trade-reporting-violations-spark-sanctions/ Fri, 20 Dec 2024 17:39:33 +0000 https://www.investmentexecutive.com/?p=499044 Trio of firms sanctioned for regulatory reporting issues

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]]> Pair behind US$100 million deli plead guilty https://www.investmentexecutive.com/news/from-the-regulators/pair-behind-us100-million-deli-plead-guilty/ Fri, 20 Dec 2024 14:36:27 +0000 https://www.investmentexecutive.com/?p=498983 Father, son duo plead guilty to securities fraud, conspiracy charges

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]]> CIRO seeks feedback on proposed CE harmonization https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-feedback-on-proposed-ce-harmonization/ Thu, 19 Dec 2024 20:37:11 +0000 https://www.investmentexecutive.com/?p=498951 SRO sets out common requirements, contemplates shift to annual CE cycle

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]]> Crypto crime up in 2024: report https://www.investmentexecutive.com/news/from-the-regulators/crypto-crime-up-in-2024-report/ Thu, 19 Dec 2024 20:17:31 +0000 https://www.investmentexecutive.com/?p=498945 Hacking eased in second half, as North Korean attacks dropped

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]]> FCA sets out to redesign U.K. retail investment disclosure https://www.investmentexecutive.com/news/from-the-regulators/fca-sets-out-to-redesign-uk-retail-investment-disclosure/ Thu, 19 Dec 2024 19:23:36 +0000 https://www.investmentexecutive.com/?p=498942 Regulators seek more useful, flexible product disclosures

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