Insider trading – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 15 Jan 2025 22:24:12 +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 Broker charged in U.S. insider trading scheme https://www.investmentexecutive.com/news/from-the-regulators/broker-charged-in-u-s-insider-trading-scheme/ Wed, 15 Jan 2025 22:24:12 +0000 https://www.investmentexecutive.com/?p=500308 Authorities allege traders exploited inside info on planned securities offerings

The post Broker charged in U.S. insider trading scheme appeared first on Investment Executive.

]]> It took 10 years, but insider trader gets prison https://www.investmentexecutive.com/news/from-the-regulators/it-took-10-years-but-insider-trader-gets-prison/ Mon, 06 Jan 2025 22:22:03 +0000 https://www.investmentexecutive.com/?p=499525 Judge hands down sentence in insider trading case brought in 2015

The post It took 10 years, but insider trader gets prison appeared first on Investment Executive.

]]> 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

The post U.S. trade reporting violations spark sanctions appeared first on Investment Executive.

]]> 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

The post Europe gears up for new crypto rules appeared first on Investment Executive.

]]> 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

The post Fired CEO’s bid to turn lemons into lemonade illegal: SEC appeared first on Investment Executive.

]]> 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

The post CIRO sanctions another ex-trader in disclosure case appeared first on Investment Executive.

]]> 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

The post Trader sanctioned for improper disclosure appeared first on Investment Executive.

]]> 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

The post IOSCO tackles abusive hedging appeared first on Investment Executive.

]]> 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

The post Court rules BCSC panel’s process was unfair appeared first on Investment Executive.

]]> 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

The post IOSCO seeks to bolster carbon markets appeared first on Investment Executive.

]]>