From the Regulators – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 17 Jan 2025 22:02:37 +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 Vanguard settles with SEC, NASAA https://www.investmentexecutive.com/news/from-the-regulators/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Fund change triggered large tax bills for certain investors, regulators alleged

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]]> U.K. delays final Basel reforms, again https://www.investmentexecutive.com/news/from-the-regulators/u-k-delays-final-basel-reforms-again/ Fri, 17 Jan 2025 21:41:17 +0000 https://www.investmentexecutive.com/?p=500460 Regulators pushback final post-crisis reforms ahead of new U.S. administration

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]]> Firms shortchanged cash sweep clients: SEC https://www.investmentexecutive.com/news/from-the-regulators/firms-shortchanged-cash-sweep-clients-sec/ Fri, 17 Jan 2025 21:22:24 +0000 https://www.investmentexecutive.com/?p=500436 Advisory clients only offered low-paying sweep accounts, regulator alleged

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]]> Quant funds failed to guard models: SEC https://www.investmentexecutive.com/news/from-the-regulators/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

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]]> Climate risk poses unique threat to financial system: FSB https://www.investmentexecutive.com/news/from-the-regulators/climate-risk-poses-unique-threat-to-financial-system-fsb/ Thu, 16 Jan 2025 21:45:27 +0000 https://www.investmentexecutive.com/?p=500376 Potential for climate tipping points, feedback loops to generate systemic, economic fallout

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]]> AMF pledges proactive prudential supervision https://www.investmentexecutive.com/news/from-the-regulators/amf-pledges-proactive-prudential-supervision/ Thu, 16 Jan 2025 19:35:30 +0000 https://www.investmentexecutive.com/?p=500343 Regulator to consider fair treatment of clients amid firms' operational risks

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]]> Crypto risks remain, European regulators find https://www.investmentexecutive.com/news/from-the-regulators/crypto-risks-remain-european-regulators-find/ Thu, 16 Jan 2025 19:21:39 +0000 https://www.investmentexecutive.com/?p=500368 The sector is vulnerable to money laundering, illicit activity, hacking

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]]> BoC to resume ‘business as usual’ this year after pandemic disruption https://www.investmentexecutive.com/news/research-and-markets/boc-to-resume-business-as-usual-this-year-after-pandemic-disruption/ Thu, 16 Jan 2025 18:37:23 +0000 https://www.investmentexecutive.com/?p=500360 The central bank will start purchasing assets again this year after two years of shrinking its balance sheet

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]]> Global regs seek safer margin calls https://www.investmentexecutive.com/news/from-the-regulators/global-regs-seek-safer-margin-calls/ Wed, 15 Jan 2025 22:30:10 +0000 https://www.investmentexecutive.com/?p=500312 Policymakers aim to address issues exposed in March 2020 market stress

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]]> Broker charged in U.S. insider trading scheme https://www.investmentexecutive.com/news/from-the-regulators/broker-charged-in-u-s-insider-trading-scheme/ Wed, 15 Jan 2025 22:24:12 +0000 https://www.investmentexecutive.com/?p=500308 Authorities allege traders exploited inside info on planned securities offerings

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