Lawsuits – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 17 Jan 2025 22:02:37 +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 Lawsuits – Investment Executive https://www.investmentexecutive.com 32 32 Vanguard settles with SEC, NASAA https://www.investmentexecutive.com/news/from-the-regulators/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Fund change triggered large tax bills for certain investors, regulators alleged

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]]> Rep must repay recruitment bonus, appeal court says https://www.investmentexecutive.com/news/from-the-regulators/rep-must-repay-recruitment-bonus-appeal-court-says/ Fri, 10 Jan 2025 20:14:57 +0000 https://www.investmentexecutive.com/?p=499995 Revised agreement between a rep and his former firm was valid: decision

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]]> Ontario court approves trailer fee class action deal https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-approves-trailer-fee-class-action-deal/ Wed, 11 Dec 2024 18:58:21 +0000 https://www.investmentexecutive.com/?p=498371 TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

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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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]]> 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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]]> CIFP drops claim against FP Canada over credential approved under Ontario’s title protection https://www.investmentexecutive.com/news/industry-news/cifp-drops-claim-against-fp-canada-over-credential-approved-under-ontarios-title-protection/ Thu, 21 Nov 2024 21:20:43 +0000 https://www.investmentexecutive.com/?p=497167 Certification body agrees not to challenge CIFP’s right to use trademarked Chartered Financial Planner designation

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]]> Court rules BCSC panel’s process was unfair https://www.investmentexecutive.com/news/from-the-regulators/court-rules-bcsc-panels-process-was-unfair/ Mon, 18 Nov 2024 19:41:55 +0000 https://www.investmentexecutive.com/?p=496909 Target of insider trading case was prevented from airing abuse of process claims, court says

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]]> FCA to revise its approach to enforcement disclosure https://www.investmentexecutive.com/news/from-the-regulators/fca/ Mon, 11 Nov 2024 21:43:19 +0000 https://www.investmentexecutive.com/?p=496470 Regulator commits to reform after judicial rebuke

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]]> Court to hear Binance challenge to OSC investigation https://www.investmentexecutive.com/news/from-the-regulators/court-to-hear-binance-challenge-to-osc-investigation/ Thu, 31 Oct 2024 21:19:23 +0000 https://www.investmentexecutive.com/?p=495865 Appeal Court agrees to rule once and for all on path for quashing a summons

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]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

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