Regulatory reform – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 18:04:07 +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 reform – Investment Executive https://www.investmentexecutive.com 32 32 Archegos founder gets 18-year sentence in the U.S. https://www.investmentexecutive.com/news/from-the-regulators/archegos-founder-gets-18-year-sentence-in-the-u-s/ Fri, 20 Dec 2024 18:03:32 +0000 https://www.investmentexecutive.com/?p=499049 Bill Hwang sentenced over hedge fund collapse that torched Wall Street

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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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]]> 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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]]> First stablecoin to meet CSA’s standards https://www.investmentexecutive.com/news/from-the-regulators/first-stablecoin-to-meet-csas-standards/ Wed, 04 Dec 2024 22:04:34 +0000 https://www.investmentexecutive.com/?p=497954 Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules

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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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]]> ASIC reports on industry complaint handling https://www.investmentexecutive.com/news/from-the-regulators/asic-reports-on-industry-complaint-handling/ Tue, 03 Dec 2024 19:18:52 +0000 https://www.investmentexecutive.com/?p=497799 Regulator launches effort to enhance transparency of firms' dispute resolution efforts

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]]> Exchanges, clearing agencies to thrive in 2025 https://www.investmentexecutive.com/news/research-and-markets/exchanges-clearing-agencies-to-thrive-in-2025/ Mon, 02 Dec 2024 18:14:49 +0000 https://www.investmentexecutive.com/?p=497759 Sector to enjoy strong volumes, diversification, helpful regulation: Fitch

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]]> The evolution of trading poses regulatory challenges https://www.investmentexecutive.com/news/from-the-regulators/the-evolution-of-trading-poses-regulatory-challenges/ Fri, 29 Nov 2024 19:46:36 +0000 https://www.investmentexecutive.com/?p=497689 IOSCO's latest report examines the risks created by the age of demutualization

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> FCA backs away from enforcement disclosure plans https://www.investmentexecutive.com/news/from-the-regulators/fca-backs-away-from-enforcement-disclosure-plans/ Thu, 28 Nov 2024 19:18:50 +0000 https://www.investmentexecutive.com/?p=497609 Regulator responds to pushback on proposal to announce investigations

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