Insider trading – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 21 Nov 2024 19:46:02 +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 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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]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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]]> OSC seeks more money for harmed investors https://www.investmentexecutive.com/news/from-the-regulators/osc-seeks-more-money-for-harmed-investors/ Thu, 11 Jul 2024 18:51:50 +0000 https://www.investmentexecutive.com/?p=489216 Regulator proposes new regime to pay out disgorged funds to victims of misconduct

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]]> ESMA adds detail to crypto rules https://www.investmentexecutive.com/news/from-the-regulators/esma-adds-detail-to-crypto-rules/ Thu, 04 Jul 2024 19:38:34 +0000 https://www.investmentexecutive.com/?p=488829 Report from EU regulator finalizes technical standards to enhance transparency for investors, improve clarity for industry

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]]> Tribunal sanctions pair in novel insider trading case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-sanctions-pair-in-novel-insider-trading-case/ Thu, 04 Jul 2024 14:27:28 +0000 https://www.investmentexecutive.com/?p=488768 Penalties send important message to Street about risks of selective disclosure, tribunal says

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]]> Trader gets jail time for front-running scheme https://www.investmentexecutive.com/news/from-the-regulators/trader-gets-jail-time-for-front-running-scheme/ Tue, 21 May 2024 19:01:38 +0000 https://www.investmentexecutive.com/?p=486200 Pair exploited inside knowledge of pension giant's trading plans

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