Market manipulation – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 14 Jan 2025 19:23:36 +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 Market manipulation – Investment Executive https://www.investmentexecutive.com 32 32 Private equity giants hit with SEC texting charges https://www.investmentexecutive.com/news/from-the-regulators/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 Regulator settles with 12 firms for a combined US$63.1 million

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]]> SEC sanctions Robinhood violations https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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]]> CIRO panel revokes third-party order https://www.investmentexecutive.com/news/from-the-regulators/ciro-panel-revokes-third-party-order/ Mon, 13 Jan 2025 22:14:03 +0000 https://www.investmentexecutive.com/?p=500120 Earlier decision requiring clearing broker to produce records overturned

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]]> NBF settles supervisory allegations with MX https://www.investmentexecutive.com/news/from-the-regulators/nbf-settles-supervisory-allegations-with-mx/ Mon, 23 Dec 2024 14:10:30 +0000 https://www.investmentexecutive.com/?p=499144 Firm failed to fully investigate potentially manipulative trading by an ex-employee

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]]> Archegos founder gets 18-year sentence in the U.S. https://www.investmentexecutive.com/news/from-the-regulators/archegos-founder-gets-18-year-sentence-in-the-u-s/ Fri, 20 Dec 2024 18:03:32 +0000 https://www.investmentexecutive.com/?p=499049 Bill Hwang sentenced over hedge fund collapse that torched Wall Street

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]]> 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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]]> Pair behind US$100 million deli plead guilty https://www.investmentexecutive.com/news/from-the-regulators/pair-behind-us100-million-deli-plead-guilty/ Fri, 20 Dec 2024 14:36:27 +0000 https://www.investmentexecutive.com/?p=498983 Father, son duo plead guilty to securities fraud, conspiracy charges

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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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]]> FCA launches crypto regime consultation https://www.investmentexecutive.com/news/from-the-regulators/fca-launches-crypto-regime-consultation/ Mon, 16 Dec 2024 19:28:16 +0000 https://www.investmentexecutive.com/?p=498631 Regulator issues first in a planned series of discussion papers on crypto rules

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]]> CFTC boasts of record year for enforcement https://www.investmentexecutive.com/news/from-the-regulators/cftc-boasts-of-record-year-for-enforcement/ Thu, 05 Dec 2024 19:01:04 +0000 https://www.investmentexecutive.com/?p=498003 A pair of major crypto cases drove monetary relief to record heights

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