regulation – 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=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png regulation – 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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]]> OSC agenda consultation is underway, and it’s packed https://uat-phoenix.investmentexecutive.com/newspaper_/news-newspaper/osc-agenda-consultation-is-underway-and-its-packed/ Fri, 07 Feb 2025 20:20:00 +0000 https://www.investmentexecutive.com/?p=501705 Junk fees, open banking and more proposed for the regulator’s next fiscal year

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]]> Industry divided on OSC’s proposed ‘long-term asset funds’ https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/industry-divided-on-oscs-proposed-long-term-asset-funds/ Fri, 07 Feb 2025 17:00:30 +0000 https://www.investmentexecutive.com/?p=502022 The funds would give retail investors exposure to illiquid assets such as private debt, private equity and infrastructure

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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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]]> 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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]]> 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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]]> U.S. securities class actions rose in 2024 https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/u-s-securities-class-actions-rose-in-2024/ Wed, 29 Jan 2025 18:50:42 +0000 https://www.investmentexecutive.com/?p=501236 AI-related filings rise; crypto cases fall, and are in doubt if regulation arrives

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]]> FSRA consults on new rule for MGAs https://uat-phoenix.investmentexecutive.com/news/industry-news/fsra-consults-on-new-rule-for-mgas/ Tue, 28 Jan 2025 21:01:28 +0000 https://www.investmentexecutive.com/?p=501140 Proposal builds on amendments for separate licensing, introduces requirements for life agents

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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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