From the Regulators | Investment Executive Canada's news source for financial professionals Wed, 29 Apr 2026 19:55:06 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png From the Regulators | Investment Executive 32 32 Crypto money launderer gets prison in U.S. https://old.investmentexecutive.com/news/crypto-money-launderer-gets-prison-in-u-s/ Wed, 29 Apr 2026 19:55:06 +0000 https://www.investmentexecutive.com/?p=537582 Shell companies, crypto exchange processed US$470 million in drug money

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]]> CFTC asserts oversight of prediction markets https://old.investmentexecutive.com/news/cftc-asserts-oversight-of-prediction-markets/ Wed, 29 Apr 2026 13:29:18 +0000 https://www.investmentexecutive.com/?p=537452 In series of legal filings, regulator claims exclusive jurisdiction

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]]> FCA launches ESG ratings pilot https://old.investmentexecutive.com/news/fca-launches-esg-ratings-pilot/ Tue, 28 Apr 2026 16:39:54 +0000 https://www.investmentexecutive.com/?p=537410 Project designed to avoid creating needless burden with new regime

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]]> RCMP alleges fraud by junior miner’s ex-CEO https://old.investmentexecutive.com/news/rcmp-alleges-fraud-by-junior-miners-ex-ceo/ Tue, 28 Apr 2026 16:28:56 +0000 https://www.investmentexecutive.com/?p=537346 Police allege gold assay results were altered for years to overstate resources

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]]> U.S. court orders sanctions in alleged Ponzi scheme https://old.investmentexecutive.com/news/u-s-court-orders-sanctions-in-alleged-ponzi-scheme/ Tue, 28 Apr 2026 15:38:52 +0000 https://www.investmentexecutive.com/?p=537339 Perpetrator resorted to payday loans to keep alleged scheme afloat

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]]> Alberta court allows class action to proceed https://old.investmentexecutive.com/news/from-the-regulators/alberta-court-allows-class-action-to-proceed/ Mon, 27 Apr 2026 20:39:44 +0000 https://www.investmentexecutive.com/?p=537289 Tolling of limitation period applies to all potential class members, court finds

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]]> SEC alleges private fund manager duped investors https://old.investmentexecutive.com/news/sec-alleges-private-fund-manager-duped-investors/ Mon, 27 Apr 2026 20:18:58 +0000 https://www.investmentexecutive.com/?p=537342 Investors in private equity funds misled, money misused, SEC charges

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]]> FCA rethinks failed equity research reforms https://old.investmentexecutive.com/news/fca-rethinks-failed-equity-research-reforms/ Mon, 27 Apr 2026 20:00:29 +0000 https://www.investmentexecutive.com/?p=537334 Effort to encourage independent IPO research hasn't worked, added costs

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]]> Global regulators grow irritated by finfluencers https://old.investmentexecutive.com/news/global-regulators-grow-irritated-by-finfluencers/ Fri, 24 Apr 2026 21:22:28 +0000 https://www.investmentexecutive.com/?p=537261 FCA leads week of action against illegal finfluencing activity

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]]> CFTC alleges insider trading on prediction market https://old.investmentexecutive.com/news/cftc-alleges-insider-trading-on-prediction-market/ Fri, 24 Apr 2026 21:09:22 +0000 https://www.investmentexecutive.com/?p=537222 Soldier accused of betting on plans to capture Venezuelan leader

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