Swift Trade Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 28 Jan 2013 14:50:00 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Swift Trade Inc. – Investment Executive https://www.investmentexecutive.com 32 32 UK tribunal upholds $12.8 million Swift Trade FSA fine https://www.investmentexecutive.com/news/from-the-regulators/uk-tribunal-upholds-12-8-million-swift-trade-fsa-fine/ Mon, 28 Jan 2013 14:50:00 +0000 https://www.investmentexecutive.com/uncategorized/uk-tribunal-upholds-12-8-million-swift-trade-fsa-fine/ Layering activity constituted “market abuse”

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]]> FINRA bars ex Swift trade CEO https://www.investmentexecutive.com/news/from-the-regulators/finra-bars-ex-swift-trade-ceo/ Tue, 31 Jul 2012 15:10:00 +0000 https://www.investmentexecutive.com/uncategorized/finra-bars-ex-swift-trade-ceo/ Beck settles with U.S. regulator, neither admitting nor denying the charges

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]]> Swift Trade, Beck fined $100,000 for compliance breaches https://www.investmentexecutive.com/news/from-the-regulators/swift-trade-beck-fined-100000-for-compliance-breaches/ Thu, 21 Jun 2012 19:45:00 +0000 https://www.investmentexecutive.com/uncategorized/swift-trade-beck-fined-100000-for-compliance-breaches/ Group facing a range of market bans

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]]> Swift Trade drops challenge to FSA notice https://www.investmentexecutive.com/news/from-the-regulators/swift-trade-drops-challenge-to-fsa-notice/ Wed, 30 Nov 2011 19:00:00 +0000 https://www.investmentexecutive.com/uncategorized/swift-trade-drops-challenge-to-fsa-notice/ The Canadian firm is still appealing the decision and fine

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]]> Swift Trade co-founder reprimanded for misleading OSC staff https://www.investmentexecutive.com/news/from-the-regulators/swift-trade-co-founder-reprimanded-for-misleading-osc-staff/ Wed, 29 Jul 2009 12:16:00 +0000 https://www.investmentexecutive.com/uncategorized/swift-trade-co-founder-reprimanded-for-misleading-osc-staff/ Regulator approves settlement with Swift Trade and Beck

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]]> Swift Trade founder accused of misleading OSC staff https://www.investmentexecutive.com/news/from-the-regulators/swift-trade-founder-accused-of-misleading-osc-staff/ Sun, 09 Dec 2007 17:30:00 +0000 https://www.investmentexecutive.com/uncategorized/swift-trade-founder-accused-of-misleading-osc-staff/ Beck hearing scheduled for January

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