Marketing – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 17 Oct 2024 14:08:54 +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 Marketing – Investment Executive https://www.investmentexecutive.com 32 32 FINRA sees deepening connections to crypto https://www.investmentexecutive.com/news/from-the-regulators/finra-sees-deepening-connections-to-crypto/ Tue, 13 Aug 2024 19:41:28 +0000 https://www.investmentexecutive.com/?p=491017 Much of the industry's involvement may be outside the SRO's perimeter

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]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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]]> AI won’t be able to beat the index: Moody’s https://www.investmentexecutive.com/news/research-and-markets/ai-wont-be-able-to-beat-the-index-moodys/ Thu, 18 Jul 2024 21:05:00 +0000 https://www.investmentexecutive.com/?p=489631 Tech advantages always prove short lived in the stock markets, report suggests

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]]> Firms shouldn’t underestimate advisors’ business needs https://www.investmentexecutive.com/newspaper_/brokerage-report-card/firms-shouldnt-underestimate-advisors-business-needs/ Wed, 05 Jun 2024 13:20:00 +0000 https://www.investmentexecutive.com/?p=486909 Offering generic or limited practice-building tools can lead to displeased advisors

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]]> ESMA reviews find disclosure, greenwashing issues https://www.investmentexecutive.com/news/from-the-regulators/esma-reviews-find-disclosure-greenwashing-issues/ Mon, 27 May 2024 19:14:18 +0000 https://www.investmentexecutive.com/?p=486546 European regulators call for enforcement action on compliance failures

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> Retail investor issues get top billing on IOSCO agenda https://www.investmentexecutive.com/news/from-the-regulators/retail-investor-issues-get-top-billing-on-iosco-agenda/ Mon, 15 Apr 2024 18:00:33 +0000 https://www.investmentexecutive.com/?p=483759 Broker conflicts, finfluencers, gamification among regulators' priorities

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]]> SEC tightens robo exemption https://www.investmentexecutive.com/news/from-the-regulators/sec-tightens-robo-exemption/ Wed, 27 Mar 2024 17:52:48 +0000 https://www.investmentexecutive.com/?p=482831 Regulator aims to bolster investor protection, modernize rules

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]]> FCA warns firms, finfluencers about misleading memes https://www.investmentexecutive.com/news/from-the-regulators/fca-warns-firms-finfluencers-about-misleading-memes/ Tue, 26 Mar 2024 18:46:58 +0000 https://www.investmentexecutive.com/?p=482753 Reels, streams and more must comply with rules against misleading ads, regulator says

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]]> FINRA fines firm over finfluencers https://www.investmentexecutive.com/news/from-the-regulators/finra-fines-firm-over-finfluencers/ Tue, 19 Mar 2024 16:51:01 +0000 https://www.investmentexecutive.com/?p=482274 SRO brings first case following compliance review targeting firms' use of online influencers

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