Social media – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 21:13:41 +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 Social media – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

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]]> How advisors can stand out in a crowd online https://uat-phoenix.investmentexecutive.com/newspaper_/building-your-business-newspaper/how-advisors-can-stand-out-in-a-crowd-online/ Fri, 07 Feb 2025 20:06:00 +0000 https://www.investmentexecutive.com/?p=501704 Be honest, transparent, consistent, advisors say

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]]> CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> BCSC steps up fight against misleading investors https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bcsc-steps-up-fight-against-misleading-investors/ Fri, 13 Dec 2024 20:04:53 +0000 https://www.investmentexecutive.com/?p=498510 Regulator issues guidance on broader protections against misinformation

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]]> Nigerian scammers impersonating legit advisors: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/nigerian-scammers-impersonating-legit-advisors-sec/ Wed, 11 Dec 2024 21:36:39 +0000 https://www.investmentexecutive.com/?p=498396 U.S. authorities allege that men primarily posed as female advisors

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]]> Tribunal sanctions Nova Tech crypto scheme https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/tribunal-sanctions-nova-tech-crypto-scheme/ Thu, 05 Dec 2024 19:21:22 +0000 https://www.investmentexecutive.com/?p=497993 The firm and its founder were permanently banned, fined

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]]> SEC reports record financial remedies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-reports-record-financial-remedies/ Fri, 22 Nov 2024 22:46:58 +0000 https://www.investmentexecutive.com/?p=497326 Enforcement case volumes decline in fiscal 2024, agency says

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]]> IOSCO embarks on retail investor protection roadmap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/iosco-embarks-on-retail-investor-protection-roadmap/ Tue, 19 Nov 2024 22:31:22 +0000 https://www.investmentexecutive.com/?p=497016 Regulators' initiative targets emerging digital risks, broker conflicts

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]]> Tribunal rejects tougher sanctions in crypto case https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-tougher-sanctions-in-crypto-case/ Mon, 04 Nov 2024 20:32:17 +0000 https://www.investmentexecutive.com/?p=495977 Panel dismisses call for stronger deterrence given risks posed by crypto, social media

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]]> FINRA reviews day-trading rules https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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