From the Regulators – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 11 Feb 2025 20:13:51 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png From the Regulators – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 ISS drops race, gender from U.S. proxy voting https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/iss-drops-race-gender-from-u-s-proxy-voting/ Tue, 11 Feb 2025 20:13:51 +0000 https://www.investmentexecutive.com/?p=502245 Firm cites U.S. government shift against DEI for policy change

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]]> SEC retreats on climate disclosure rules https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-retreats-on-climate-disclosure-rules/ Tue, 11 Feb 2025 17:44:06 +0000 https://www.investmentexecutive.com/?p=502235 Regulator signals halt to its legal defence of tougher climate rules

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]]> Investor class action against cannabis firm settled https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/investor-class-action-against-cannabis-firm-settled/ Mon, 10 Feb 2025 22:07:19 +0000 https://www.investmentexecutive.com/?p=502161 $30 million deal requires court approval, set for March 26

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]]> SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

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]]> Industry divided on OSC’s proposed ‘long-term asset funds’ https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/industry-divided-on-oscs-proposed-long-term-asset-funds/ Fri, 07 Feb 2025 17:00:30 +0000 https://www.investmentexecutive.com/?p=502022 The funds would give retail investors exposure to illiquid assets such as private debt, private equity and infrastructure

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]]> FCA to pay investors for complaint delays https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-to-pay-investors-for-complaint-delays/ Thu, 06 Feb 2025 20:04:21 +0000 https://www.investmentexecutive.com/?p=501980 Regulator defends its conduct in 'mini-bond' investigations

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]]> Court allows parallel class actions in data breach https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/court-allows-parallel-class-actions-in-data-breach/ Wed, 05 Feb 2025 22:41:19 +0000 https://www.investmentexecutive.com/?p=501875 B.C. court refuses to dismiss case, despite similar action in Ontario

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]]> B.C. appeal court certifies closet indexing class action https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/b-c-appeal-court-certifies-closet-indexing-class-action/ Wed, 05 Feb 2025 20:38:08 +0000 https://www.investmentexecutive.com/?p=501844 Fund investors don't need to allege fraud, court finds

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]]> Basel Committee revises credit risk principles https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/basel-committee-revises-credit-risk-principles/ Wed, 05 Feb 2025 18:58:34 +0000 https://www.investmentexecutive.com/?p=501834 Group reiterates commitment to implementing final Basel III requirements

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]]> FDIC joins U.S. pro-crypto shift https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fdic-joins-u-s-pro-crypto-shift/ Wed, 05 Feb 2025 18:48:51 +0000 https://www.investmentexecutive.com/?p=501828 Agency releases documents showing past resistance to banks' crypto efforts

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