Insider trading – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 17:39:33 +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 Insider trading – Investment Executive https://www.investmentexecutive.com 32 32 U.S. trade reporting violations spark sanctions https://www.investmentexecutive.com/news/from-the-regulators/u-s-trade-reporting-violations-spark-sanctions/ Fri, 20 Dec 2024 17:39:33 +0000 https://www.investmentexecutive.com/?p=499044 Trio of firms sanctioned for regulatory reporting issues

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]]> Europe gears up for new crypto rules https://www.investmentexecutive.com/news/from-the-regulators/europe-gears-up-for-new-crypto-rules/ Tue, 17 Dec 2024 18:55:32 +0000 https://www.investmentexecutive.com/?p=498702 ESMA issues series of guidance ahead of new regime's launch at year end

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]]> Fired CEO’s bid to turn lemons into lemonade illegal: SEC https://www.investmentexecutive.com/news/from-the-regulators/fired-ceos-bid-to-turn-lemons-into-lemonade-illegal-sec/ Thu, 12 Dec 2024 18:12:03 +0000 https://www.investmentexecutive.com/?p=498457 CEO faces insider trading charges for selling company's stock based on advance knowledge of its negative earnings, and his own firing

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]]> CIRO sanctions another ex-trader in disclosure case https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-another-ex-trader-in-disclosure-case/ Fri, 06 Dec 2024 18:02:08 +0000 https://www.investmentexecutive.com/?p=498088 A second former Stifel Nicolaus trader settles with SRO

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]]> Trader sanctioned for improper disclosure https://www.investmentexecutive.com/news/from-the-regulators/trader-sanctioned-for-improper-disclosure/ Tue, 26 Nov 2024 18:12:35 +0000 https://www.investmentexecutive.com/?p=497431 Hedge fund traded on information about firm's pending block trades

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]]> IOSCO tackles abusive hedging https://www.investmentexecutive.com/news/from-the-regulators/iosco-tackles-abusive-hedging/ Thu, 21 Nov 2024 19:46:02 +0000 https://www.investmentexecutive.com/?p=497158 Concerns about conflicts, insider trading, manipulation in pre-hedging trades

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]]> Court rules BCSC panel’s process was unfair https://www.investmentexecutive.com/news/from-the-regulators/court-rules-bcsc-panels-process-was-unfair/ Mon, 18 Nov 2024 19:41:55 +0000 https://www.investmentexecutive.com/?p=496909 Target of insider trading case was prevented from airing abuse of process claims, court says

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]]> IOSCO seeks to bolster carbon markets https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-to-bolster-carbon-markets/ Thu, 14 Nov 2024 20:45:05 +0000 https://www.investmentexecutive.com/?p=496769 Regulator issues report with recommendations for building safe, sound markets

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]]> BCSC settles insider trading case https://www.investmentexecutive.com/news/from-the-regulators/bcsc-settles-insider-trading-case/ Fri, 27 Sep 2024 21:40:42 +0000 https://www.investmentexecutive.com/?p=493589 Man agrees to pay trading profits plus 50% to regulator

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]]> U.K. man accused in ‘hack-to-trade’ scheme https://www.investmentexecutive.com/news/from-the-regulators/u-k-man-accused-in-hack-to-trade-scheme/ Fri, 27 Sep 2024 19:33:19 +0000 https://www.investmentexecutive.com/?p=493565 SEC, DoJ allege execs' emails were hacked to get inside information on earnings

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