Disclosure – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 03 Dec 2024 19:18:52 +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 Disclosure – Investment Executive https://www.investmentexecutive.com 32 32 ASIC reports on industry complaint handling https://www.investmentexecutive.com/news/from-the-regulators/asic-reports-on-industry-complaint-handling/ Tue, 03 Dec 2024 19:18:52 +0000 https://www.investmentexecutive.com/?p=497799 Regulator launches effort to enhance transparency of firms' dispute resolution efforts

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]]> Robo advisor sanctioned over CFR shortcomings https://www.investmentexecutive.com/news/from-the-regulators/robo-advisor-sanctioned-over-cfr-shortcomings/ Tue, 03 Dec 2024 13:56:42 +0000 https://www.investmentexecutive.com/?p=497778 Compliance sweep in 2022 found WealthBar wasn't meeting new standards

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]]> Former fund rep sanctioned for SRO rule breaches https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Rep had clients invest in, failed to disclose, his side hustles

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]]> FCA backs away from enforcement disclosure plans https://www.investmentexecutive.com/news/from-the-regulators/fca-backs-away-from-enforcement-disclosure-plans/ Thu, 28 Nov 2024 19:18:50 +0000 https://www.investmentexecutive.com/?p=497609 Regulator responds to pushback on proposal to announce investigations

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]]> FCA reveals roadmap to crypto regulation https://www.investmentexecutive.com/news/from-the-regulators/fca-reveals-roadmap-to-crypto-regulation/ Wed, 27 Nov 2024 19:59:39 +0000 https://www.investmentexecutive.com/?p=497560 Regulator lays out plans for rule consultations with new regime due in 2026

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]]> Trader sanctioned for improper disclosure https://www.investmentexecutive.com/news/from-the-regulators/trader-sanctioned-for-improper-disclosure/ Tue, 26 Nov 2024 18:12:35 +0000 https://www.investmentexecutive.com/?p=497431 Hedge fund traded on information about firm's pending block trades

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]]> Barclays drops FCA appeal, takes £40 million fine https://www.investmentexecutive.com/news/from-the-regulators/barclays-drops-fca-appeal-takes-40-million-fine/ Mon, 25 Nov 2024 19:17:40 +0000 https://www.investmentexecutive.com/?p=497377 Regulator sought sanctions over disclosure of bank's actions during financial crisis

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]]> IOSCO seeks improved oversight of OTC markets https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-improved-oversight-of-otc-markets/ Mon, 25 Nov 2024 19:06:00 +0000 https://www.investmentexecutive.com/?p=497368 Review finds challenges monitoring OTC commodity derivatives

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]]> SEC reports record financial remedies https://www.investmentexecutive.com/news/from-the-regulators/sec-reports-record-financial-remedies/ Fri, 22 Nov 2024 22:46:58 +0000 https://www.investmentexecutive.com/?p=497326 Enforcement case volumes decline in fiscal 2024, agency says

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]]> Sweeps buoyed SEC enforcement: report https://www.investmentexecutive.com/news/from-the-regulators/sweeps-buoyed-sec-enforcement-report/ Fri, 22 Nov 2024 12:00:45 +0000 https://www.investmentexecutive.com/?p=497225 Brokers' texting, whistleblower protections among regulator's priorities

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