regulation – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 22:16:11 +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 regulation – Investment Executive https://www.investmentexecutive.com 32 32 Breaching BCSC freeze order lands man in jail https://www.investmentexecutive.com/news/from-the-regulators/breaching-bcsc-freeze-order-lands-man-in-jail/ Fri, 20 Dec 2024 22:16:11 +0000 https://www.investmentexecutive.com/?p=499134 Regulator found bank accounts frozen during an investigation had been depleted

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]]> U.S. trade reporting violations spark sanctions https://www.investmentexecutive.com/news/from-the-regulators/u-s-trade-reporting-violations-spark-sanctions/ Fri, 20 Dec 2024 17:39:33 +0000 https://www.investmentexecutive.com/?p=499044 Trio of firms sanctioned for regulatory reporting issues

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]]> To boost research coverage, let issuers pay https://www.investmentexecutive.com/news/from-the-regulators/to-boost-research-coverage-let-issuers-pay/ Wed, 18 Dec 2024 19:05:35 +0000 https://www.investmentexecutive.com/?p=498844 ESMA consults on code of conduct to encourage issuer-sponsored research

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]]> Emerging market regs team up on climate rules https://www.investmentexecutive.com/news/from-the-regulators/emerging-market-regs-team-up-on-climate-rules/ Wed, 18 Dec 2024 18:48:28 +0000 https://www.investmentexecutive.com/?p=498850 IOSCO members launch group to support ISSB standards adoption

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]]> Bank regulators to take a breather in 2025: Fitch https://www.investmentexecutive.com/news/from-the-regulators/bank-regulators-to-take-a-breather-in-2025-fitch/ Tue, 17 Dec 2024 21:12:43 +0000 https://www.investmentexecutive.com/?p=498745 Amid an expected easing in the U.S., the rating agency has a neutral outlook on global bank regulation

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]]> FCA unveils private stock market plans https://www.investmentexecutive.com/news/from-the-regulators/fca-unveils-private-stock-market-plans/ Tue, 17 Dec 2024 19:34:50 +0000 https://www.investmentexecutive.com/?p=498740 U.K. launches experiment to facilitate private share trading

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]]> OSFI keeps domestic stability buffer on hold at 3.5% https://www.investmentexecutive.com/news/from-the-regulators/osfi-keeps-domestic-stability-buffer-on-hold-at-3-5/ Tue, 17 Dec 2024 17:14:48 +0000 https://www.investmentexecutive.com/?p=498724 The hold reflects OSFI's view that risks facing the financial system remain generally stable

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]]> Shadow bank growth outpaces traditional sector: FSB https://www.investmentexecutive.com/news/from-the-regulators/shadow-bank-growth-outpaces-traditional-sector-fsb/ Mon, 16 Dec 2024 19:40:03 +0000 https://www.investmentexecutive.com/?p=498633 Market gains, net inflows boost assets held in the non-bank sector

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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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]]> ASC issues permanent ban on man who promoted fake legal services startup https://www.investmentexecutive.com/news/from-the-regulators/asc-issues-permanent-ban-on-man-who-promoted-fake-legal-services-startup/ Fri, 13 Dec 2024 20:52:26 +0000 https://www.investmentexecutive.com/?p=498538 Alberta man stole more than $500,000 from vulnerable investors

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