Disclosure – 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=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Disclosure – 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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]]> Investor class action against cannabis firm settled https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/investor-class-action-against-cannabis-firm-settled/ Mon, 10 Feb 2025 22:07:19 +0000 https://www.investmentexecutive.com/?p=502161 $30 million deal requires court approval, set for March 26

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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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]]> B.C. appeal court certifies closet indexing class action https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/b-c-appeal-court-certifies-closet-indexing-class-action/ Wed, 05 Feb 2025 20:38:08 +0000 https://www.investmentexecutive.com/?p=501844 Fund investors don't need to allege fraud, court finds

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]]> FINRA sanctions custody firm https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/finra-sanctions-custody-firm/ Tue, 04 Feb 2025 18:33:21 +0000 https://www.investmentexecutive.com/?p=501686 Investors didn't get paid for lending securities, SRO alleged

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]]> FCA aims to ease retail access to bond markets https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-aims-to-ease-retail-access-to-bond-markets/ Fri, 31 Jan 2025 19:36:03 +0000 https://www.investmentexecutive.com/?p=501486 Reforms designed to encourage smaller deals, retail participation

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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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]]> 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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