Registration – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 03 Feb 2025 18:55:59 +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 Registration – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 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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]]> 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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]]> Binary options fraudsters ordered to pay US$450 million https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/binary-options-fraudsters-ordered-to-pay-us450-million/ Thu, 30 Jan 2025 22:19:56 +0000 https://www.investmentexecutive.com/?p=501364 U.S. district court issues default judgment in global scheme

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]]> ASC, BCSC join settlement with crypto companies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/asc-bcsc-join-settlement-with-crypto-companies/ Fri, 24 Jan 2025 19:05:57 +0000 https://www.investmentexecutive.com/?p=500961 Settlement provides refunds to investors that bought variety of digital assets

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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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]]> Crypto exchange gets second US$100-million penalty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/crypto-exchange-gets-second-us100-million-penalty/ Wed, 15 Jan 2025 21:55:57 +0000 https://www.investmentexecutive.com/?p=500213 BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

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]]> Crypto hedge funds hampered by timid bankers: Report https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/crypto-hedge-funds-hampered-by-timid-bankers-report/ Mon, 13 Jan 2025 21:38:44 +0000 https://www.investmentexecutive.com/?p=500110 AIMA survey finds crypto funds struggle to get basic banking services

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]]> Broker fined for unauthorized access violations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/broker-fined-for-unauthorized-access-violations/ Thu, 09 Jan 2025 19:53:09 +0000 https://www.investmentexecutive.com/?p=499862 Marex Capital Markets sanctioned in settlement with MX

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]]> Tribunal sets sanctions in record crypto fraud https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/tribunal-sets-sanctions-in-record-crypto-fraud/ Fri, 20 Dec 2024 21:53:40 +0000 https://www.investmentexecutive.com/?p=499080 Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

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]]> CIRO seeks feedback on proposed CE harmonization https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ciro-seeks-feedback-on-proposed-ce-harmonization/ Thu, 19 Dec 2024 20:37:11 +0000 https://www.investmentexecutive.com/?p=498951 SRO sets out common requirements, contemplates shift to annual CE cycle

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