Advertising – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Jul 2024 19:49:43 +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 Advertising – Investment Executive https://www.investmentexecutive.com 32 32 OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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]]> ESMA reviews find disclosure, greenwashing issues https://www.investmentexecutive.com/news/from-the-regulators/esma-reviews-find-disclosure-greenwashing-issues/ Mon, 27 May 2024 19:14:18 +0000 https://www.investmentexecutive.com/?p=486546 European regulators call for enforcement action on compliance failures

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]]> FCA charges finfluencers over social media posts https://www.investmentexecutive.com/news/from-the-regulators/fca-charges-finfluencers-over-social-media-posts/ Thu, 16 May 2024 18:59:22 +0000 https://www.investmentexecutive.com/?p=485990 U.K. regulators allege an unregistered FX trading scheme was touted on Instagram

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> SEC tightens robo exemption https://www.investmentexecutive.com/news/from-the-regulators/sec-tightens-robo-exemption/ Wed, 27 Mar 2024 17:52:48 +0000 https://www.investmentexecutive.com/?p=482831 Regulator aims to bolster investor protection, modernize rules

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]]> FCA warns firms, finfluencers about misleading memes https://www.investmentexecutive.com/news/from-the-regulators/fca-warns-firms-finfluencers-about-misleading-memes/ Tue, 26 Mar 2024 18:46:58 +0000 https://www.investmentexecutive.com/?p=482753 Reels, streams and more must comply with rules against misleading ads, regulator says

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]]> FINRA fines firm over finfluencers https://www.investmentexecutive.com/news/from-the-regulators/finra-fines-firm-over-finfluencers/ Tue, 19 Mar 2024 16:51:01 +0000 https://www.investmentexecutive.com/?p=482274 SRO brings first case following compliance review targeting firms' use of online influencers

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]]> FCA revs up its anti-hype machine https://www.investmentexecutive.com/news/from-the-regulators/fca-revs-up-its-anti-hype-machine/ Wed, 14 Feb 2024 18:46:15 +0000 https://www.investmentexecutive.com/?p=480511 Regulator reports rise in scam alerts, misleading promos

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]]> Most crypto communications may be offside: FINRA https://www.investmentexecutive.com/news/from-the-regulators/most-crypto-communications-may-be-offside-finra/ Tue, 23 Jan 2024 18:27:56 +0000 https://www.investmentexecutive.com/?p=479113 Compliance review finds potential violations in 70% of firms' messages

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]]> U.K. regulator recruiting advisors to anti-greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/u-k-regulator-recruiting-advisors-to-anti-greenwashing-fight/ Tue, 16 Jan 2024 16:43:45 +0000 https://www.investmentexecutive.com/?p=478711 FCA forms working group to enhance advisor expertise in sustainable investment

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