Compliance – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 21:53:40 +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 Compliance – Investment Executive https://www.investmentexecutive.com 32 32 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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]]> 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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]]> 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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]]> 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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]]> FSB tackles shadow bank leverage https://www.investmentexecutive.com/news/from-the-regulators/fsb-tackles-shadow-bank-leverage/ Wed, 18 Dec 2024 21:23:18 +0000 https://www.investmentexecutive.com/?p=498854 Report sets out recommendations for addressing risks posed by leverage build ups

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]]> To boost research coverage, let issuers pay https://www.investmentexecutive.com/news/from-the-regulators/to-boost-research-coverage-let-issuers-pay/ Wed, 18 Dec 2024 19:05:35 +0000 https://www.investmentexecutive.com/?p=498844 ESMA consults on code of conduct to encourage issuer-sponsored research

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]]> Climate disclosure remains a work in progress https://www.investmentexecutive.com/news/from-the-regulators/climate-disclosure-remains-a-work-in-progress/ Wed, 18 Dec 2024 18:32:05 +0000 https://www.investmentexecutive.com/?p=498839 CSSB issues final standards, CSA still working on rule that would mandate disclosure

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]]> FCA unveils private stock market plans https://www.investmentexecutive.com/news/from-the-regulators/fca-unveils-private-stock-market-plans/ Tue, 17 Dec 2024 19:34:50 +0000 https://www.investmentexecutive.com/?p=498740 U.K. launches experiment to facilitate private share trading

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]]> Europe gears up for new crypto rules https://www.investmentexecutive.com/news/from-the-regulators/europe-gears-up-for-new-crypto-rules/ Tue, 17 Dec 2024 18:55:32 +0000 https://www.investmentexecutive.com/?p=498702 ESMA issues series of guidance ahead of new regime's launch at year end

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]]> FCA launches crypto regime consultation https://www.investmentexecutive.com/news/from-the-regulators/fca-launches-crypto-regime-consultation/ Mon, 16 Dec 2024 19:28:16 +0000 https://www.investmentexecutive.com/?p=498631 Regulator issues first in a planned series of discussion papers on crypto rules

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