Short selling – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 07 Nov 2024 20:00:28 +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 Short selling – Investment Executive https://www.investmentexecutive.com 32 32 Case against Cormark was regulatory overreach: Tribunal https://www.investmentexecutive.com/news/from-the-regulators/case-against-cormark-was-regulatory-overreach-tribunal/ Thu, 07 Nov 2024 19:36:46 +0000 https://www.investmentexecutive.com/?p=496258 OSC failed to prove any of its allegations against dealer, investment banker

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]]> Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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]]> CIRO fines Stifel Nicolaus $475K for failing to protect confidential info https://www.investmentexecutive.com/news/from-the-regulators/ciro-fines-stifel-nicolaus-475k-for-failing-to-protect-confidential-info/ Fri, 23 Aug 2024 18:06:40 +0000 https://www.investmentexecutive.com/?p=491596 Info was used to enter into short sale transactions without Stifel's knowledge

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]]> Activist short seller charged with securities fraud https://www.investmentexecutive.com/news/from-the-regulators/activist-short-seller-charged-with-securities-fraud/ Fri, 26 Jul 2024 17:45:04 +0000 https://www.investmentexecutive.com/?p=490063 SEC, DoJ allege Citron Research, and its founder, misled investors

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> SEC alleges CEO engineered short squeeze https://www.investmentexecutive.com/news/from-the-regulators/sec-alleges-ceo-engineered-short-squeeze/ Tue, 25 Jun 2024 19:04:07 +0000 https://www.investmentexecutive.com/?p=488396 Company completed offering while valuation was inflated, regulator says

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]]> Advisers didn’t disclose work with short-sellers: SEC https://www.investmentexecutive.com/news/from-the-regulators/advisers-didnt-disclose-work-with-short-sellers-sec/ Fri, 14 Jun 2024 17:53:52 +0000 https://www.investmentexecutive.com/?p=487784 Fund's strategy included working with publishers of bearish articles

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]]> Short-selling consultation comes up short https://www.investmentexecutive.com/newspaper_/news-newspaper/short-selling-consultation-comes-up-short/ Mon, 13 May 2024 04:10:00 +0000 https://www.investmentexecutive.com/?p=485262 Reaction to CIRO’s proposed changes is sharply divided

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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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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