Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 11 Feb 2025 17:44:06 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 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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]]> 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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]]> CFTC pledges enhanced public consultation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cftc-pledges-enhanced-public-consultation/ Mon, 27 Jan 2025 20:22:13 +0000 https://www.investmentexecutive.com/?p=501044 Regulator to seek feedback on emerging issues, particularly in crypto

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]]> CSA to match SEC on trading fee caps https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/csa-to-match-sec-on-trading-fee-caps/ Thu, 23 Jan 2025 18:55:14 +0000 https://www.investmentexecutive.com/?p=500845 SEC reforms under judicial review, Canadian regs won't change first

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]]> SEC launches crypto task force https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-launches-crypto-task-force/ Tue, 21 Jan 2025 21:05:38 +0000 https://www.investmentexecutive.com/?p=500668 Hester Peirce to lead agency's effort to bring more certainty to crypto sector

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]]> SEC makes last-minute enforcement push https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-makes-last-minute-enforcement-push/ Mon, 20 Jan 2025 19:37:19 +0000 https://www.investmentexecutive.com/?p=500545 Agency reports record enforcement filings, seeks to save dealer rule

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]]> Vanguard settles with SEC, NASAA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Fund change triggered large tax bills for certain investors, regulators alleged

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]]> Firms shortchanged cash sweep clients: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/firms-shortchanged-cash-sweep-clients-sec/ Fri, 17 Jan 2025 21:22:24 +0000 https://www.investmentexecutive.com/?p=500436 Advisory clients only offered low-paying sweep accounts, regulator alleged

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]]> Quant funds failed to guard models: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

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]]> Private equity giants hit with SEC texting charges https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 Regulator settles with 12 firms for a combined US$63.1 million

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