Compliance | Investment Executive Canada's news source for financial professionals Wed, 29 Apr 2026 13:29:18 +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 Compliance | Investment Executive 32 32 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 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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]]> OSC’s appeal of privacy decision rejected https://old.investmentexecutive.com/news/oscs-appeal-of-privacy-decision-rejected/ Fri, 24 Apr 2026 19:06:39 +0000 https://www.investmentexecutive.com/?p=537208 IPC denied regulator's review request on disclosure of records

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]]> CIRO settles with PFSL over supervisory issues https://old.investmentexecutive.com/news/ciro-settles-with-pfsl-over-supervisory-issues/ Wed, 22 Apr 2026 17:19:05 +0000 https://www.investmentexecutive.com/?p=536925 Reps allegedly took $1 million from an elderly client

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]]> ASIC issues roadmap to crypto regime https://old.investmentexecutive.com/news/from-the-regulators/asic-issues-roadmap-to-crypto-regime/ Tue, 21 Apr 2026 10:00:40 +0000 https://www.investmentexecutive.com/?p=536739 New licensing regime approved, full compliance due by October 2027

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]]> SEC, CFTC aim to ease private fund reporting https://old.investmentexecutive.com/news/sec-cftc-aim-to-ease-private-fund-reporting/ Mon, 20 Apr 2026 19:18:09 +0000 https://www.investmentexecutive.com/?p=536732 Regulators seek boost in reporting thresholds to reduce small firm demands

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]]> OSC, AMF in French connection https://old.investmentexecutive.com/news/from-the-regulators/osc-amf-in-french-connection/ Mon, 20 Apr 2026 14:00:45 +0000 https://www.investmentexecutive.com/?p=536669 Regulators reach deal to support cross-listing in Canada and France

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]]> SEC set to cancel advisory firms’ registrations https://old.investmentexecutive.com/news/sec-set-to-cancel-advisory-firms-registrations/ Fri, 17 Apr 2026 18:38:01 +0000 https://www.investmentexecutive.com/?p=536602 Firms no longer qualify for narrower online advisor exemption

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]]> CIRO issues phase two of CE reform proposals https://old.investmentexecutive.com/news/ciro-issues-phase-two-of-ce-reform-proposals/ Thu, 16 Apr 2026 20:37:41 +0000 https://www.investmentexecutive.com/?p=536496 Proposals out for 90-day comment period, final regime slated for Jan. 1, 2028

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