Securities regulations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 17 Oct 2024 16:40:46 +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 Securities regulations – Investment Executive https://www.investmentexecutive.com 32 32 Industry moves this week https://www.investmentexecutive.com/news/people/industry-moves-this-week-75/ Thu, 17 Oct 2024 16:40:46 +0000 https://www.investmentexecutive.com/?p=494926 This roundup includes a mix of industry veterans who have chosen new firms or ventures

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]]> OSC names former auditor general as head of enforcement https://www.investmentexecutive.com/news/industry-news/osc-names-former-auditor-general-as-head-of-enforcement/ Tue, 08 Oct 2024 16:52:42 +0000 https://www.investmentexecutive.com/?p=494085 Bonnie Lysyk, along with Josée Turcotte, will support the regulator in delivering its strategic plan

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]]> Man gets jail time for stealing nearly US$1M from investors https://www.investmentexecutive.com/news/from-the-regulators/man-gets-jail-time-for-allegedly-stealing-nearly-us1m-from-investors/ Wed, 21 Aug 2024 20:33:27 +0000 https://www.investmentexecutive.com/?p=491511 The man and his company were not registered to trade securities, BCSC says

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]]> Billionaire charged for using company to secure personal loans worth billions https://www.investmentexecutive.com/news/from-the-regulators/billionaire-charged-for-using-company-to-secure-personal-loans-worth-billions/ Mon, 19 Aug 2024 16:53:00 +0000 https://www.investmentexecutive.com/?p=491342 Carl Icahn and Icahn Enterprises have agreed to pay $2M in total in penalties: SEC

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> CSA to complete ETF review this fall https://www.investmentexecutive.com/news/from-the-regulators/csa-to-complete-etf-review-this-fall/ Thu, 04 Jul 2024 15:00:41 +0000 https://www.investmentexecutive.com/?p=488767 Regulatory review comes as ETFs hold a growing share of the investment fund market

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]]> Binance Holdings appeals $6M Fintrac fine https://www.investmentexecutive.com/news/from-the-regulators/binance-holdings-appeals-6m-fintrac-fine/ Wed, 19 Jun 2024 19:12:10 +0000 https://www.investmentexecutive.com/?p=488076 Cryptocurrency exchange says it does not direct its services at those in Canada

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]]> OSC has conflicts of interest in its crosshairs https://www.investmentexecutive.com/newspaper_/news-newspaper/osc-has-conflicts-of-interest-in-its-crosshairs/ Mon, 13 May 2024 04:10:15 +0000 https://www.investmentexecutive.com/?p=485244 Newsmaker: CEO Grant Vingoe also wants to see binding decision-making authority for OBSI

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]]> Emerge ETFs unitholder calls for greater regulatory oversight https://www.investmentexecutive.com/news/products/emerge-etfs-unitholder-calls-for-greater-regulatory-oversight/ Mon, 29 Apr 2024 18:00:37 +0000 https://www.investmentexecutive.com/?p=484911 Investor decries lack of communication throughout cease-trade order, and recommends increased due diligence when choosing funds

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]]> SEC pauses climate rule amid legal challenges https://www.investmentexecutive.com/news/from-the-regulators/sec-pauses-climate-rule-amid-legal-challenges/ Fri, 05 Apr 2024 16:03:22 +0000 https://www.investmentexecutive.com/?p=483241 The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit

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