Options – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 09 Dec 2024 20:15:52 +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 Options – Investment Executive https://www.investmentexecutive.com 32 32 Ex-fund rep used online brokers with clients https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-used-online-brokers-with-clients/ Mon, 09 Dec 2024 20:15:52 +0000 https://www.investmentexecutive.com/?p=498196 Rep circumvented registration limits to trade wider range of securities

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]]> OTC derivatives rise in first half: BIS https://www.investmentexecutive.com/news/research-and-markets/otc-derivatives-rise-in-first-half-bis/ Fri, 22 Nov 2024 12:00:02 +0000 https://www.investmentexecutive.com/?p=497195 Growth was concentrated in smaller market segments, interest rate derivatives flat

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]]> CIRO sanctions supervisory lapses at Desjardins https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-supervisory-lapses-at-desjardins/ Fri, 15 Nov 2024 14:16:00 +0000 https://www.investmentexecutive.com/?p=496774 Firm failed to oversee trading activity by a couple of its reps

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]]> Global trading activity up in first half: WFE https://www.investmentexecutive.com/news/research-and-markets/global-trading-activity-up-in-first-half-wfe/ Tue, 13 Aug 2024 19:16:10 +0000 https://www.investmentexecutive.com/?p=490994 Market cap rose, alongside trading volume and value, group reports

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]]> New account schemers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/new-account-schemers-plead-guilty/ Thu, 18 Jul 2024 21:03:01 +0000 https://www.investmentexecutive.com/?p=489604 Short-term cash advances exploited in market manipulation

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]]> CEO pay soars among S&P companies https://www.investmentexecutive.com/news/research-and-markets/ceo-pay-soars-among-sp-companies/ Tue, 30 Apr 2024 17:39:30 +0000 https://www.investmentexecutive.com/?p=485005 New ISS research finds CEO pay up alongside shareholder returns

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]]> Rep admits to unapproved discretionary trades https://www.investmentexecutive.com/news/from-the-regulators/rep-admits-to-unapproved-discretionary-trades/ Tue, 27 Feb 2024 22:21:21 +0000 https://www.investmentexecutive.com/?p=481189 Settlement includes disgorgement, penalty and suspension

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> MX proposes new trading functionality https://www.investmentexecutive.com/news/from-the-regulators/mx-proposes-new-trading-functionality/ Thu, 09 Nov 2023 21:22:30 +0000 https://www.investmentexecutive.com/?p=475012 Exchange aims to enhance appeal with new order type and automation

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]]> Crypto company wrong to cancel options, court finds https://www.investmentexecutive.com/news/from-the-regulators/crypto-company-wrong-to-cancel-options-court-finds/ Wed, 20 Sep 2023 21:23:38 +0000 https://www.investmentexecutive.com/?p=471988 Power to award options lies with board, not management

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