Disclosure – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 15:48:46 +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 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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]]> Emerging market regs team up on climate rules https://www.investmentexecutive.com/news/from-the-regulators/emerging-market-regs-team-up-on-climate-rules/ Wed, 18 Dec 2024 18:48:28 +0000 https://www.investmentexecutive.com/?p=498850 IOSCO members launch group to support ISSB standards adoption

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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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]]> 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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]]> BCSC steps up fight against misleading investors https://www.investmentexecutive.com/news/from-the-regulators/bcsc-steps-up-fight-against-misleading-investors/ Fri, 13 Dec 2024 20:04:53 +0000 https://www.investmentexecutive.com/?p=498510 Regulator issues guidance on broader protections against misinformation

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]]> Lutnick’s Cantor settles with SEC https://www.investmentexecutive.com/news/from-the-regulators/lutnicks-cantor-settles-with-sec/ Fri, 13 Dec 2024 19:54:24 +0000 https://www.investmentexecutive.com/?p=498541 Disclosure about SPAC listings was misleading, regulator alleged

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]]> Issuer sanctioned by OSC for misleading disclosure https://www.investmentexecutive.com/news/from-the-regulators/issuer-sanctioned-by-osc-for-misleading-disclosure/ Thu, 12 Dec 2024 18:21:55 +0000 https://www.investmentexecutive.com/?p=498441 Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

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]]> B.C. court upholds limitations on asset freezes https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-limitations-on-asset-freezes/ Mon, 09 Dec 2024 19:11:57 +0000 https://www.investmentexecutive.com/?p=498193 Target of SEC enforcement can have access to frozen funds for appeal, court says

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