Mobile applications and devices – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 30 Oct 2024 17:48:40 +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 Mobile applications and devices – Investment Executive https://www.investmentexecutive.com 32 32 FINRA reviews day-trading rules https://www.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> Bank turmoil has lessons for regulators https://www.investmentexecutive.com/news/from-the-regulators/bank-turmoil-has-lessons-for-regulators/ Fri, 11 Oct 2024 17:18:01 +0000 https://www.investmentexecutive.com/?p=494677 Liquidity oversight may need to evolve in the wake of March 2023 stress

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]]> Rating agencies settle SEC texting charges https://www.investmentexecutive.com/news/from-the-regulators/rating-agencies-settle-sec-texting-charges/ Wed, 04 Sep 2024 12:55:38 +0000 https://www.investmentexecutive.com/?p=492058 Firms failed to capture employees' private texts, WhatsApp chats

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]]> TD, RBC sanctioned by U.S. regulators https://www.investmentexecutive.com/news/from-the-regulators/td-rbc-sanctioned-by-u-s-regulators/ Thu, 15 Aug 2024 15:08:08 +0000 https://www.investmentexecutive.com/?p=491163 Firms charged over unapproved off-channel communications

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]]> Trading games drive heavier, riskier activity: FCA https://www.investmentexecutive.com/news/from-the-regulators/trading-games-drive-heavier-riskier-activity-fca/ Thu, 20 Jun 2024 19:03:06 +0000 https://www.investmentexecutive.com/?p=488143 Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows

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]]> Rep fined, banned in CIRO settlement https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-banned-in-ciro-settlement/ Mon, 29 Jan 2024 19:38:00 +0000 https://www.investmentexecutive.com/?p=479396 Former rep admitted to misappropriation

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]]> Brokerage app Webull launches in Canada https://www.investmentexecutive.com/news/industry-news/brokerage-app-webull-launches-in-canada/ Tue, 02 Jan 2024 14:00:48 +0000 https://www.investmentexecutive.com/?p=477873 Discount brokerage offers Canadian and U.S. equities

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]]> U.K.’s FCA issues guidance on new crypto rules https://www.investmentexecutive.com/news/from-the-regulators/u-k-s-fca-issues-guidance-on-new-crypto-rules/ Thu, 02 Nov 2023 20:07:52 +0000 https://www.investmentexecutive.com/?p=474462 Regulator aims to facilitate compliance with new regime

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]]> Former rep fined, banned by CIRO https://www.investmentexecutive.com/news/from-the-regulators/former-rep-fined-banned-by-ciro/ Wed, 01 Nov 2023 19:56:17 +0000 https://www.investmentexecutive.com/?p=474343 Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations

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