Regulatory burden – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 12 Dec 2024 19:35:23 +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 Regulatory burden – Investment Executive https://www.investmentexecutive.com 32 32 CIRO to match SEC on trading increments https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-match-sec-on-trading-increments/ Thu, 12 Dec 2024 19:28:10 +0000 https://www.investmentexecutive.com/?p=498461 Proposed reforms would harmonize requirements for inter-listed securities

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]]> Regulators rule out discretionary AI trading, for now https://www.investmentexecutive.com/news/from-the-regulators/regulators-rule-out-discretionary-ai-trading-for-now/ Thu, 05 Dec 2024 21:47:19 +0000 https://www.investmentexecutive.com/?p=498037 CSA issues new guidance, consults on possible future reforms to address AI advances

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]]> Ex-SEC commissioner tapped to lead agency https://www.investmentexecutive.com/news/from-the-regulators/ex-sec-commissioner-tapped-to-lead-agency/ Wed, 04 Dec 2024 20:59:45 +0000 https://www.investmentexecutive.com/?p=497920 Trump nominates crypto advocate as next head of the SEC

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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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]]> CSA to expand electronic access disclosure model https://www.investmentexecutive.com/news/from-the-regulators/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 Regulators aim to address concerns about retail investor protection

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]]> Ontario consults on new pension payout option https://www.investmentexecutive.com/news/from-the-regulators/ontario-consults-on-new-pension-payout-option/ Wed, 13 Nov 2024 18:06:50 +0000 https://www.investmentexecutive.com/?p=496654 Consultation seeks feedback on framework for variable life benefits

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]]> FINRA poised to hike brokers’ fees https://www.investmentexecutive.com/news/from-the-regulators/finra-poised-to-hike-brokers-fees/ Tue, 12 Nov 2024 20:46:54 +0000 https://www.investmentexecutive.com/?p=496555 Fee increase to be phased in over five years, bring projected revenues in line with expenses

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]]> FCA expands research unbundling to fund managers https://www.investmentexecutive.com/news/from-the-regulators/fca-expands-research-unbundling-to-fund-managers/ Tue, 05 Nov 2024 17:27:40 +0000 https://www.investmentexecutive.com/?p=496038 U.K. regulator aims to improve access to research, market transparency

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]]> 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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