Conflicts of interest – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 04 Feb 2025 21:09:10 +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 Conflicts of interest – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 CFTC revamps enforcement division https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cftc-revamps-enforcement-division/ Tue, 04 Feb 2025 21:09:10 +0000 https://www.investmentexecutive.com/?p=501763 Regulator slims its roster of task forces, signals shift in focus

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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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]]> 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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]]> 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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]]> 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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]]> Closing the gap between mutual, seg fund regulation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> To boost research coverage, let issuers pay https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/to-boost-research-coverage-let-issuers-pay/ Wed, 18 Dec 2024 19:05:35 +0000 https://www.investmentexecutive.com/?p=498844 ESMA consults on code of conduct to encourage issuer-sponsored research

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]]> Research finds paying whistleblowers works https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/research-finds-paying-whistleblowers-works/ Wed, 11 Dec 2024 11:41:55 +0000 https://www.investmentexecutive.com/?p=498308 Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

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]]> Regulators rule out discretionary AI trading, for now https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/regulators-rule-out-discretionary-ai-trading-for-now/ Thu, 05 Dec 2024 21:47:19 +0000 https://www.investmentexecutive.com/?p=498037 CSA issues new guidance, consults on possible future reforms to address AI advances

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