North American Securities Administrators Association – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 24 Jan 2025 19:05:57 +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 North American Securities Administrators Association – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 ASC, BCSC join settlement with crypto companies https://uat-phoenix.investmentexecutive.com/news/asc-bcsc-join-settlement-with-crypto-companies/ Fri, 24 Jan 2025 19:05:57 +0000 https://www.investmentexecutive.com/?p=500961 Vanguard settles with SEC, NASAA https://uat-phoenix.investmentexecutive.com/news/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Edward Jones to pay US$17 million in NASAA settlement https://uat-phoenix.investmentexecutive.com/news/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 NASAA adds best interest standard to model rule https://uat-phoenix.investmentexecutive.com/news/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 Investment fraudsters embrace innovation https://uat-phoenix.investmentexecutive.com/news/investment-fraudsters-embrace-innovation/ Tue, 22 Oct 2024 21:35:44 +0000 https://www.investmentexecutive.com/?p=495299 Crypto firm settles with SEC, state regulators https://uat-phoenix.investmentexecutive.com/news/crypto-firm-settles-with-sec-state-regs/ Wed, 07 Feb 2024 19:24:41 +0000 https://www.investmentexecutive.com/?p=480070 CFTC, NASAA settle fraud targeting seniors https://uat-phoenix.investmentexecutive.com/news/cftc-nasaa-settle-fraud-targeting-seniors/ Wed, 25 Oct 2023 20:14:44 +0000 https://www.investmentexecutive.com/?p=474015 NASAA details investment advisers’ compliance issues https://uat-phoenix.investmentexecutive.com/news/nasaa-details-investment-advisers-compliance-issues/ Mon, 11 Sep 2023 18:17:24 +0000 https://www.investmentexecutive.com/?p=471326 U.S. brokers need work on best interest compliance https://uat-phoenix.investmentexecutive.com/news/u-s-brokers-need-work-on-best-interest-compliance/ Tue, 05 Sep 2023 21:15:48 +0000 https://www.investmentexecutive.com/?p=471055 Crypto is the bait, and FOMO is the hook https://uat-phoenix.investmentexecutive.com/news/crypto-is-the-bait-and-fomo-is-the-hook/ Thu, 20 Apr 2023 18:30:46 +0000 https://www.investmentexecutive.com/?p=464224