Registration | Investment Executive Canada's news source for financial professionals Wed, 22 Apr 2026 14:09:01 +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 Registration | Investment Executive 32 32 OSFI to launch expedited licensing process https://old.investmentexecutive.com/news/osfi-to-launch-expedited-licensing-process/ Wed, 22 Apr 2026 14:09:01 +0000 https://www.investmentexecutive.com/?p=536847 Fintechs, credit unions seeking federal charters to be eligible for streamlined process

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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 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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]]> FCA consults on crypto perimeter https://old.investmentexecutive.com/news/fca-consults-on-crypto-perimeter/ Wed, 15 Apr 2026 17:39:12 +0000 https://www.investmentexecutive.com/?p=536362 The regulator's consulting on its proposed guidance before new crypto sector rules take effect

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]]> SEC gives crypto firms guidance on wallets https://old.investmentexecutive.com/news/sec-gives-crypto-firms-guidance-on-wallets/ Mon, 13 Apr 2026 20:46:13 +0000 https://www.investmentexecutive.com/?p=536187 Regulator details how firms can avoid triggering registration

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]]> KuCoin crypto exchange shut down in U.S. https://old.investmentexecutive.com/news/from-the-regulators/kucoin-crypto-exchange-shut-down-in-u-s/ Tue, 31 Mar 2026 17:54:42 +0000 https://www.investmentexecutive.com/?p=535281 In CFTC action, court order imposes permanent injunction on platform

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]]> BCSC settles with director over alleged crypto fraud https://old.investmentexecutive.com/news/bcsc-settles-with-director-over-alleged-crypto-fraud/ Mon, 02 Mar 2026 21:36:18 +0000 https://www.investmentexecutive.com/?p=532983 Platform used investors' money to finance operations, fund withdrawals

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]]> CIRO addresses cybersecurity, AI, CFR gaps and more https://old.investmentexecutive.com/news/ciro-addresses-cybersecurity-ai-cfr-gaps-and-more/ Tue, 17 Feb 2026 21:38:50 +0000 https://www.investmentexecutive.com/?p=531928 Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff

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]]> CIRO ready to end dual-dealer model https://old.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> FINTRAC fines firms for compliance failings https://old.investmentexecutive.com/news/fintrac-fines-firms-for-compliance-failings/ Thu, 05 Feb 2026 20:07:28 +0000 https://www.investmentexecutive.com/?p=531191 Agency sanctions breaches of anti-money laundering rules

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