Compliance – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 18:09:40 +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 Compliance – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Advisors are at risk https://uat-phoenix.investmentexecutive.com/inside-track_/ellen-bessner/advisors-are-at-risk/ Mon, 10 Feb 2025 21:00:59 +0000 https://www.investmentexecutive.com/?p=502098 Protect your business and reputation by managing these 5 risks

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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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]]> 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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]]> CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> ESMA issues crypto guidance https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/esma-issues-crypto-guidance/ Fri, 31 Jan 2025 19:41:50 +0000 https://www.investmentexecutive.com/?p=501489 Regulator seeks consistent implementation of new regime, avoiding arbitrage

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]]> Bridging investors deserve their day in court: judge https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-investors-deserve-their-day-in-court-judge/ Thu, 23 Jan 2025 19:54:07 +0000 https://www.investmentexecutive.com/?p=500856 Quebec court refuses to stay lawsuit, saying regulatory, receivership proceedings could take years

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]]> Capital markets vulnerable to criminals: FCA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/capital-markets-vulnerable-to-criminals-fca/ Thu, 23 Jan 2025 19:11:12 +0000 https://www.investmentexecutive.com/?p=500852 Firms need to beef up anti-money laundering controls, review finds

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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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]]> Global anti-greenwashing efforts on the rise: ISS https://uat-phoenix.investmentexecutive.com/news/research-and-markets/global-anti-greenwashing-efforts-on-the-rise-iss/ Tue, 21 Jan 2025 19:56:57 +0000 https://www.investmentexecutive.com/?p=500657 Report reveals firm's top ESG trends for investors in 2025

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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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