Complaints | Investment Executive https://www.investmentexecutive.com/tag/complaints/ Canada's news source for financial professionals Wed, 28 Jan 2026 15:15:38 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Complaints | Investment Executive https://www.investmentexecutive.com/tag/complaints/ 32 32 New Brunswick bolsters investor protection https://www.investmentexecutive.com/news/new-brunswick-bolsters-investor-protection/ Wed, 28 Jan 2026 15:15:38 +0000 https://www.investmentexecutive.com/?p=530416 Bill raises enforcement penalties, enables binding dispute resolution

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]]> Crypto sector, meet conduct standards, ethical duties https://www.investmentexecutive.com/news/crypto-sector-meet-conduct-standards-ethical-duties/ Fri, 23 Jan 2026 19:34:05 +0000 https://www.investmentexecutive.com/?p=530141 FCA consults on latest phase of new rules for crypto firms

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]]> Ontario court blasts Binance’s legal tactics https://www.investmentexecutive.com/news/ontario-court-blasts-binances-legal-tactics/ Mon, 12 Jan 2026 22:09:01 +0000 https://www.investmentexecutive.com/?p=529173 Courts awards plaintiffs' costs, criticizes effort to force foreign arbitration

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]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

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]]> Investors not getting fair value from CFDs: FCA https://www.investmentexecutive.com/news/from-the-regulators/investors-not-getting-fair-value-from-cfds-fca/ Thu, 13 Nov 2025 19:51:59 +0000 https://www.investmentexecutive.com/?p=525380 Firms falling short of regulator's expectations under investor duty

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]]> ASIC targets private credit for enforcement https://www.investmentexecutive.com/news/asic-targets-private-credit-for-enforcement/ Wed, 12 Nov 2025 21:31:41 +0000 https://www.investmentexecutive.com/?p=525283 Regulator details enforcement priorities for the year ahead

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]]> Complaint confidentiality in the public interest https://www.investmentexecutive.com/news/complaint-confidentiality-in-the-public-interest/ Thu, 09 Oct 2025 17:12:56 +0000 https://www.investmentexecutive.com/?p=522325 IPC upholds FSRA decision to protect identity of complainant

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]]> What to expect when filing on ComSet https://www.investmentexecutive.com/news/what-to-expect-when-filing-on-comset/ Mon, 06 Oct 2025 21:15:18 +0000 https://www.investmentexecutive.com/?p=522016 CIRO issues new guidance on complaint filing requirements

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/from-the-regulators/fca-consults-on-crypto-rules-2/ Wed, 17 Sep 2025 20:11:17 +0000 https://www.investmentexecutive.com/?p=520489 U.K. regulator's proposals consider operational, conduct standards for emerging sector

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]]> CSA extends OBSI consultation deadline https://www.investmentexecutive.com/news/from-the-regulators/csa-extends-obsi-consultation-deadline/ Thu, 04 Sep 2025 20:15:41 +0000 https://www.investmentexecutive.com/?p=518844 Industry, investors have until Sept. 29 to provide feedback on reforms to give body binding powers

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