Margin debt – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 18 Dec 2024 21:23:18 +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 Margin debt – Investment Executive https://www.investmentexecutive.com 32 32 FSB tackles shadow bank leverage https://www.investmentexecutive.com/news/from-the-regulators/fsb-tackles-shadow-bank-leverage/ Wed, 18 Dec 2024 21:23:18 +0000 https://www.investmentexecutive.com/?p=498854 Report sets out recommendations for addressing risks posed by leverage build ups

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]]> FINRA reviews day-trading rules https://www.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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]]> European regulators prep for possible T+1 move https://www.investmentexecutive.com/news/from-the-regulators/european-regulators-prep-for-possible-t1-move/ Tue, 15 Oct 2024 18:17:36 +0000 https://www.investmentexecutive.com/?p=494805 ESMA promises transition oversight group to support move to faster settlement

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]]> Fund dealer service expansion on hold https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-service-expansion-on-hold/ Fri, 13 Sep 2024 17:53:42 +0000 https://www.investmentexecutive.com/?p=492722 CIRO decides discretionary, discount accounts for fund dealers won't be pursued as part of rulebook consolidation project

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]]> Improving how shadow banks cope with stress https://www.investmentexecutive.com/news/from-the-regulators/improving-how-shadow-banks-cope-with-stress/ Wed, 17 Apr 2024 18:46:57 +0000 https://www.investmentexecutive.com/?p=484184 FSB proposes series of recommendations for addressing liquidity issues

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]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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]]> Margin call claim must go to trial https://www.investmentexecutive.com/news/from-the-regulators/margin-call-claim-must-go-to-trial/ Wed, 27 Mar 2024 18:29:33 +0000 https://www.investmentexecutive.com/?p=482834 Question of whether client used stop loss orders requires hearing, court rules

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]]> SEC beefs up personal trading rules https://www.investmentexecutive.com/news/from-the-regulators/sec-beefs-up-personal-trading-rules/ Fri, 23 Feb 2024 21:25:12 +0000 https://www.investmentexecutive.com/?p=481005 Financial sector funds now out of bounds for regulator's employees

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]]> IOSCO consults on margin best practices https://www.investmentexecutive.com/news/from-the-regulators/iosco-consults-on-margin-best-practices/ Wed, 14 Feb 2024 19:22:03 +0000 https://www.investmentexecutive.com/?p=480516 Seeks input by Apr. 14 aimed at improving markets' ability to handle elevated margin calls

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]]> CIRO revises derivatives rules for dealers https://www.investmentexecutive.com/news/from-the-regulators/ciro-revises-derivatives-rules-for-dealers/ Thu, 18 Jan 2024 21:26:35 +0000 https://www.investmentexecutive.com/?p=478978 First phase of reforms to take effect Sept. 28

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