Conflicts of interest | Investment Executive Canada's news source for financial professionals Mon, 27 Apr 2026 20:18:58 +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 Conflicts of interest | Investment Executive 32 32 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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]]> 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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]]> ESMA examines the rise of non-public credit ratings https://old.investmentexecutive.com/news/esma-examines-the-rise-of-non-public-credit-ratings/ Thu, 16 Apr 2026 18:29:52 +0000 https://www.investmentexecutive.com/?p=536492 Regulator to explore market impact of private, restricted rating activity

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]]> SEC sanctions FTX audit lead https://old.investmentexecutive.com/news/sec-sanctions-ftx-audit-lead/ Thu, 09 Apr 2026 14:27:47 +0000 https://www.investmentexecutive.com/?p=535872 Auditors failed to understand relationship between FTX, hedge fund: regulator

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]]> U.S. advisor pleads guilty in US$160-million fraud https://old.investmentexecutive.com/news/from-the-regulators/u-s-advisor-pleads-guilty-in-us160-million-fraud/ Tue, 07 Apr 2026 19:18:37 +0000 https://www.investmentexecutive.com/?p=535623 Investors misled in risky, conflicted private equity funds, authorities alleged

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]]> U.S. advisor settles SEC charges https://old.investmentexecutive.com/news/u-s-advisor-settles-sec-charges/ Mon, 30 Mar 2026 18:44:47 +0000 https://www.investmentexecutive.com/?p=535178 SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing

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]]> Bank competition grows, but Big Tech faces doubts https://old.investmentexecutive.com/news/bank-competition-grows-but-big-tech-faces-doubts/ Wed, 25 Mar 2026 19:01:02 +0000 https://www.investmentexecutive.com/?p=534800 Approval of charters for non-banks on the rise, but industry wary of tech giants: Fitch

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]]> Trailer fees in FCA’s crosshairs once again https://old.investmentexecutive.com/news/trailer-fees-in-fcas-crosshairs-once-again/ Wed, 25 Mar 2026 18:48:14 +0000 https://www.investmentexecutive.com/?p=534794 Concerns about investor harm arise as trailers persist, despite 2012 ban

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]]> Firm failed to disclose conflict in asset allocation: SEC https://old.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

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