Enforcement – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 22:07:19 +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 Enforcement – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 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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]]> Stable outlook for U.S. retail brokers: Moody’s https://uat-phoenix.investmentexecutive.com/news/research-and-markets/stable-outlook-for-u-s-retail-brokers-moodys/ Fri, 07 Feb 2025 16:37:55 +0000 https://www.investmentexecutive.com/?p=501984 Demand for advice, strong markets to drive growth in client assets

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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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]]> FSRA revokes licence of former life agent for misappropriating client funds https://uat-phoenix.investmentexecutive.com/news/industry-news/fsra-revokes-licence-of-former-life-agent-for-misappropriating-client-funds/ Thu, 06 Feb 2025 19:42:21 +0000 https://www.investmentexecutive.com/?p=501945 Several clients who lost money filed lawsuits last year

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]]> Court allows parallel class actions in data breach https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/court-allows-parallel-class-actions-in-data-breach/ Wed, 05 Feb 2025 22:41:19 +0000 https://www.investmentexecutive.com/?p=501875 B.C. court refuses to dismiss case, despite similar action in Ontario

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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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]]> 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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]]> 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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]]> U.S. charges Canadian for alleged crypto hack https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/u-s-charges-canadian-for-alleged-crypto-hack/ Mon, 03 Feb 2025 20:42:47 +0000 https://www.investmentexecutive.com/?p=501608 DoJ alleges that DeFi protocols exploited for US$65 million in crypto

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]]> Ontario tribunal bans, fines crypto platform https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ontario-tribunal-bans-fines-crypto-platform/ Mon, 03 Feb 2025 18:55:59 +0000 https://www.investmentexecutive.com/?p=501588 Sanctions needed to level playing field with crypto firms that are complying

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