Securities and Exchange Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 08 Nov 2024 18:03:28 +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 and Exchange Commission – Investment Executive https://www.investmentexecutive.com 32 32 Invesco settles SEC greenwashing charges https://www.investmentexecutive.com/news/from-the-regulators/invesco-settles-sec-greenwashing-charges/ Fri, 08 Nov 2024 18:03:28 +0000 https://www.investmentexecutive.com/?p=496357 Regulator alleges firm overstated the extent of funds' ESG integration

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]]> Canadian pleads guilty in global pump-and-dump https://www.investmentexecutive.com/news/from-the-regulators/canadian-pleads-guilty-in-global-pump-and-dump/ Mon, 04 Nov 2024 22:06:28 +0000 https://www.investmentexecutive.com/?p=495999 Alleged mastermind to be sentenced in U.S. court next May

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]]> NASAA adds best interest standard to model rule https://www.investmentexecutive.com/news/from-the-regulators/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

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]]> Move to T+1 both easier, and harder, than T+2 https://www.investmentexecutive.com/news/industry-news/move-to-t1-both-easier-and-harder-than-t2/ Thu, 31 Oct 2024 18:15:10 +0000 https://www.investmentexecutive.com/?p=495818 CCMA declares project a success, but not a blueprint for T+0

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]]> OSC rewards foreign tipster https://www.investmentexecutive.com/news/from-the-regulators/osc-rewards-foreign-tipster/ Wed, 23 Oct 2024 18:11:27 +0000 https://www.investmentexecutive.com/?p=495343 Regulator calls for more enforcement tips on emerging issues

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]]> ESG ETFs failed to screen out sin stocks, SEC alleges https://www.investmentexecutive.com/news/from-the-regulators/esg-etfs-failed-to-screen-out-sin-stocks-sec-alleges/ Tue, 22 Oct 2024 18:31:34 +0000 https://www.investmentexecutive.com/?p=495254 Third-party data didn't screen all energy, tobacco stocks, regulator says

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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> FBI cracks SEC Twitter hack https://www.investmentexecutive.com/news/from-the-regulators/fbi-cracks-sec-twitter-hack/ Thu, 17 Oct 2024 19:18:53 +0000 https://www.investmentexecutive.com/?p=494966 Authorities allege SIM swap enabled access to regulator's social media account

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]]> Hedge funds creep further into crypto: AIMA https://www.investmentexecutive.com/news/research-and-markets/hedge-funds-creep-further-into-crypto-aima/ Fri, 11 Oct 2024 16:35:00 +0000 https://www.investmentexecutive.com/?p=494650 Institutional investors increasingly interested in digital assets, survey finds

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]]> U.S. dismantles crypto manipulation schemes https://www.investmentexecutive.com/news/from-the-regulators/u-s-dismantles-crypto-manipulation-schemes/ Thu, 10 Oct 2024 17:47:33 +0000 https://www.investmentexecutive.com/?p=494446 FBI created its own cryptoasset to help uncover manipulation-as-a-service

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