Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 05 Dec 2022 21:50:09 +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 Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC warns firms of identity theft risks https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-warns-firms-of-identity-theft-risks/ Mon, 05 Dec 2022 21:50:09 +0000 https://www.investmentexecutive.com/?p=456991 Weaknesses in firms' practices uncovered in compliance exams

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]]> Fund managers heed the added risk of ESG: Fitch https://uat-phoenix.investmentexecutive.com/news/research-and-markets/fund-managers-heed-the-added-risk-of-esg-fitch/ Tue, 29 Nov 2022 22:21:02 +0000 https://www.investmentexecutive.com/?p=456602 Focus on greenwashing has heightened regulatory risk for ESG funds, managers

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]]> Involved in misconduct, but still a whistleblower https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/involved-in-misconduct-but-still-a-whistleblower/ Mon, 28 Nov 2022 18:20:58 +0000 https://www.investmentexecutive.com/?p=456476 Tipster gets US$20 million despite involvement and delay in reporting

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]]> Canadian charged in pump-and-dump scheme https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/canadian-charged-in-pump-and-dump-scheme/ Wed, 23 Nov 2022 17:55:01 +0000 https://www.investmentexecutive.com/?p=456231 U.S. authorities allege Quebec firm used in market manipulation

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]]> GSAM settles SEC greenwashing allegations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/gsam-settles-sec-greenwashing-allegations/ Tue, 22 Nov 2022 21:53:53 +0000 https://www.investmentexecutive.com/?p=456141 Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies

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]]> SEC charges brokers over unregistered penny stock trades https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-charges-brokers-over-unregistered-penny-stock-trades/ Fri, 18 Nov 2022 19:34:09 +0000 https://www.investmentexecutive.com/?p=455976 Side business allegedly enabled billions of stock trades

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]]> SEC enforcement reaches record heights https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-enforcement-reaches-record-heights/ Tue, 15 Nov 2022 18:37:33 +0000 https://www.investmentexecutive.com/?p=455612 Volume of disciplinary actions and total financial sanctions rose in fiscal 2022

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]]> S&P settles SEC rating conflict case https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sp-settles-sec-rating-conflict-case/ Tue, 15 Nov 2022 18:30:26 +0000 https://www.investmentexecutive.com/?p=455618 Rating agency's sales personnel pressured analysts on RMBS transaction, regulator alleged

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]]> Crypto trading bot just a Ponzi scheme: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/crypto-trading-bot-just-a-ponzi-scheme-sec/ Fri, 04 Nov 2022 20:50:06 +0000 https://www.investmentexecutive.com/?p=455019 The regulator said investors fell prey to the hype around digital assets

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]]> SEC proposes tougher liquidity rules for funds https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-proposes-tougher-liquidity-rules-for-funds/ Wed, 02 Nov 2022 19:31:06 +0000 https://www.investmentexecutive.com/?p=454761 Rules aim to make it easier for funds to meet redemptions amid market stress

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