Fiduciary duty – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Wed, 05 Feb 2025 20:38:08 +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 Fiduciary duty – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 B.C. appeal court certifies closet indexing class action https://uat-phoenix.investmentexecutive.com/news/b-c-appeal-court-certifies-closet-indexing-class-action/ Wed, 05 Feb 2025 20:38:08 +0000 https://www.investmentexecutive.com/?p=501844 Quant funds failed to guard models: SEC https://uat-phoenix.investmentexecutive.com/news/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Edward Jones to pay US$17 million in NASAA settlement https://uat-phoenix.investmentexecutive.com/news/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 NASAA adds best interest standard to model rule https://uat-phoenix.investmentexecutive.com/news/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 Fund dealer fiduciary duty class action fails https://uat-phoenix.investmentexecutive.com/news/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 SEC targets brokers’ best interests compliance https://uat-phoenix.investmentexecutive.com/news/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Advisers failed to enforce investment limits: SEC https://uat-phoenix.investmentexecutive.com/news/advisers-failed-to-enforce-investment-limits-sec/ Wed, 25 Sep 2024 17:50:02 +0000 https://www.investmentexecutive.com/?p=493396 SEC sanctions adviser’s mismarking https://uat-phoenix.investmentexecutive.com/news/sec-sanctions-advisers-mismarking/ Thu, 19 Sep 2024 20:28:46 +0000 https://www.investmentexecutive.com/?p=493117 Pension regulators unveil new guidance https://uat-phoenix.investmentexecutive.com/news/pension-regulators-unveil-new-guidance/ Tue, 10 Sep 2024 19:02:22 +0000 https://www.investmentexecutive.com/?p=492395 Trailer fee class action certified https://uat-phoenix.investmentexecutive.com/news/trailer-fee-class-action-certified/ Thu, 01 Aug 2024 20:49:44 +0000 https://www.investmentexecutive.com/?p=490402