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Keyword: Short selling

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Judge's gavel with magnifying glass on black.

Hedge fund traded on information about firm's pending block trades

Judge looks at papers

OSC failed to prove any of its allegations against dealer, investment banker

Oversight direction

OSC asked to review OM exemption, beneficial ownership registry being examined

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Info was used to enter into short sale transactions without Stifel's knowledge

Crossed fingers

SEC, DoJ allege Citron Research, and its founder, misled investors

Red alert

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

Company completed offering while valuation was inflated, regulator says

Fund's strategy included working with publishers of bearish articles

stock market down

Reaction to CIRO’s proposed changes is sharply divided

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda