Registration – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 21:53:40 +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 Registration – Investment Executive https://www.investmentexecutive.com 32 32 Tribunal sets sanctions in record crypto fraud https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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]]> CIRO seeks feedback on proposed CE harmonization https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-feedback-on-proposed-ce-harmonization/ Thu, 19 Dec 2024 20:37:11 +0000 https://www.investmentexecutive.com/?p=498951 SRO sets out common requirements, contemplates shift to annual CE cycle

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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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]]> Ex-fund rep used online brokers with clients https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-used-online-brokers-with-clients/ Mon, 09 Dec 2024 20:15:52 +0000 https://www.investmentexecutive.com/?p=498196 Rep circumvented registration limits to trade wider range of securities

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]]> Tribunal sanctions Nova Tech crypto scheme https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sanctions-nova-tech-crypto-scheme/ Thu, 05 Dec 2024 19:21:22 +0000 https://www.investmentexecutive.com/?p=497993 The firm and its founder were permanently banned, fined

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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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]]> It’s official: DFSA credential no longer qualifies for FA title use https://www.investmentexecutive.com/news/industry-news/its-official-dfsa-credential-no-longer-qualifies-for-fa-title-use/ Fri, 22 Nov 2024 17:41:10 +0000 https://www.investmentexecutive.com/?p=497275 RBC still requires the credential in retail branches, FSRA provides date for forthcoming title protection review

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]]> CSA set to hike SEDAR, NRD fees https://www.investmentexecutive.com/news/from-the-regulators/csa-set-to-hike-sedar-nrd-fees/ Thu, 21 Nov 2024 19:34:59 +0000 https://www.investmentexecutive.com/?p=497161 Dramatic revenue increase needed to keep pace with systems costs: regulators

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]]> CIRO poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

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]]> CIRO taps Fitch Learning for new proficiency model https://www.investmentexecutive.com/news/from-the-regulators/ciro-taps-fitch-learning-for-new-proficiency-model/ Fri, 08 Nov 2024 14:00:36 +0000 https://www.investmentexecutive.com/?p=496316 Firm to help build infrastructure for new exam-based approach to reps' education

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