Enforcement – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 28 Nov 2024 21:02:26 +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 Enforcement – Investment Executive https://www.investmentexecutive.com 32 32 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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]]> Bridging investors may finally see some money https://www.investmentexecutive.com/news/from-the-regulators/bridging-investors-may-finally-see-some-money/ Thu, 28 Nov 2024 19:32:35 +0000 https://www.investmentexecutive.com/?p=497612 PwC proposes an interim $473 million payout to investors

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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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]]> Christmas comes early for FAIR Canada https://www.investmentexecutive.com/news/from-the-regulators/christmas-comes-early-for-fair-canada/ Wed, 27 Nov 2024 18:43:55 +0000 https://www.investmentexecutive.com/?p=497551 OSC provides investor advocate with $11 million in funding over six years

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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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]]> Ex-fund rep banned for ‘obvious’ conflict of interest https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-banned-for-obvious-conflict-of-interest/ Fri, 22 Nov 2024 20:55:15 +0000 https://www.investmentexecutive.com/?p=497304 Rep arranged a loan from one client to another to repay a "gang" debt

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