Consumer protection – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 16 Jan 2025 19:35:30 +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 Consumer protection – Investment Executive https://www.investmentexecutive.com 32 32 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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]]> Closing the gap between mutual, seg fund regulation https://www.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> Bank regulators to take a breather in 2025: Fitch https://www.investmentexecutive.com/news/from-the-regulators/bank-regulators-to-take-a-breather-in-2025-fitch/ Tue, 17 Dec 2024 21:12:43 +0000 https://www.investmentexecutive.com/?p=498745 Amid an expected easing in the U.S., the rating agency has a neutral outlook on global bank regulation

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]]> FINTRAC fines bank for compliance violations https://www.investmentexecutive.com/news/from-the-regulators/fintrac-fines-bank-for-compliance-violations/ Wed, 11 Dec 2024 17:15:36 +0000 https://www.investmentexecutive.com/?p=498331 Agency uncovered transaction reporting failures in compliance review

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]]> U.S., European bank merger prospects rising https://www.investmentexecutive.com/news/research-and-markets/u-s-european-bank-merger-prospects-rising/ Tue, 10 Dec 2024 20:12:45 +0000 https://www.investmentexecutive.com/?p=498270 Regulators in both markets are increasingly friendly to bank consolidation: Fitch

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]]> FCA seeks redress system reform https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-redress-system-reform/ Fri, 15 Nov 2024 18:30:32 +0000 https://www.investmentexecutive.com/?p=496820 Regulators aim to improve handling of systemic issues

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]]> The perils of automating anti-money laundering controls https://www.investmentexecutive.com/news/from-the-regulators/the-perils-of-automating-anti-money-laundering-controls/ Tue, 12 Nov 2024 17:54:02 +0000 https://www.investmentexecutive.com/?p=496545 U.K.'s FCA fines bank over faulty automated transaction surveillance system

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]]> U.S. banks to see softer regulation https://www.investmentexecutive.com/news/research-and-markets/u-s-banks-to-see-softer-regulation/ Thu, 07 Nov 2024 19:54:40 +0000 https://www.investmentexecutive.com/?p=496262 Election results signal lighter rules, lower taxes, but limited short-term impact, DBRS says

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]]> Stress tests prove their worth: BoC research https://www.investmentexecutive.com/news/research-and-markets/stress-tests-prove-their-worth-boc-research/ Wed, 06 Nov 2024 21:14:29 +0000 https://www.investmentexecutive.com/?p=496167 Policies have affected credit growth, housing prices, delinquencies

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]]> It’s official: OBSI becomes sole external complaints body for banking https://www.investmentexecutive.com/news/from-the-regulators/its-official-obsi-becomes-sole-external-complaints-body-for-banking/ Fri, 01 Nov 2024 17:33:01 +0000 https://www.investmentexecutive.com/?p=495907 The move is expected to reduce delays, simplify the banking complaints system

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