Registration – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 20 Nov 2024 20:37:45 +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 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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]]> Tribunal rejects tougher sanctions in crypto case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-tougher-sanctions-in-crypto-case/ Mon, 04 Nov 2024 20:32:17 +0000 https://www.investmentexecutive.com/?p=495977 Panel dismisses call for stronger deterrence given risks posed by crypto, social media

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]]> NASAA adds best interest standard to model rule https://www.investmentexecutive.com/news/from-the-regulators/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

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]]> Pyramid schemer banned in OSC settlement https://www.investmentexecutive.com/news/from-the-regulators/pyramid-schemer-banned-in-osc-settlement/ Thu, 31 Oct 2024 16:51:00 +0000 https://www.investmentexecutive.com/?p=495808 Venture that led to conviction also violated securities rules, regulator says

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]]> BCSC sanctions unregistered trading https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-unregistered-trading/ Wed, 30 Oct 2024 18:44:50 +0000 https://www.investmentexecutive.com/?p=495722 Man banned four years, pays $135,000 in settlement with regulator

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]]> ESMA calls for cybersecurity audits in crypto sector https://www.investmentexecutive.com/news/from-the-regulators/esma-calls-for-cybersecurity-audits-in-crypto-sector/ Wed, 16 Oct 2024 19:33:50 +0000 https://www.investmentexecutive.com/?p=494902 European regulators press for external audit requirements in new crypto rules

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]]> Justice delayed, not quite justice denied, panel says https://www.investmentexecutive.com/news/from-the-regulators/justice-delayed-not-quite-justice-denied-panel-says/ Wed, 02 Oct 2024 20:32:23 +0000 https://www.investmentexecutive.com/?p=493805 CIRO must get on with the enforcement proceeding, if that's what it intends to do

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]]> BCSC bans unregistered crypto platform https://www.investmentexecutive.com/news/from-the-regulators/bcsc-bans-unregistered-crypto-platform/ Tue, 17 Sep 2024 20:28:26 +0000 https://www.investmentexecutive.com/?p=492931 Sanctions seek deterrence, level playing field for compliant crypto firms

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]]> Pre-IPO schemes in U.S. authorities’ crosshairs https://www.investmentexecutive.com/news/from-the-regulators/pre-ipo-schemes-in-u-s-authorities-crosshairs/ Thu, 12 Sep 2024 21:52:51 +0000 https://www.investmentexecutive.com/?p=492658 Unregistered investment funds are allegedly costing investors millions

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