Trading rules – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 22 Nov 2024 20:06:07 +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 Trading rules – Investment Executive https://www.investmentexecutive.com 32 32 Markets more liquid, but increasingly fragile https://www.investmentexecutive.com/news/research-and-markets/markets-more-liquid-but-increasingly-fragile/ Fri, 22 Nov 2024 20:06:07 +0000 https://www.investmentexecutive.com/?p=497300 Research suggests looking to FX markets for solutions

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]]> IOSCO seeks to bolster carbon markets https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-to-bolster-carbon-markets/ Thu, 14 Nov 2024 20:45:05 +0000 https://www.investmentexecutive.com/?p=496769 Regulator issues report with recommendations for building safe, sound markets

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]]> OSC reviews funds’ risk ratings, ETF regulation https://www.investmentexecutive.com/news/from-the-regulators/osc-reviews-funds-risk-ratings-etf-regulation/ Wed, 06 Nov 2024 17:05:33 +0000 https://www.investmentexecutive.com/?p=496149 Regulator examines use of discretion in ratings, following OBSI alert

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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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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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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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]]> Brokerage sanctioned for gatekeeper failures https://www.investmentexecutive.com/news/from-the-regulators/brokerage-sanctioned-for-gatekeeper-failures/ Thu, 10 Oct 2024 17:56:26 +0000 https://www.investmentexecutive.com/?p=494449 CIRO settles with firm over failure to question suspicious trading activity

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]]> Tribunal bans former Bay Street exec, again https://www.investmentexecutive.com/news/from-the-regulators/tribunal-bans-former-bay-street-exec-again/ Tue, 01 Oct 2024 19:25:23 +0000 https://www.investmentexecutive.com/?p=493739 Regulatory order breach results in fine, disgorgement and a new ban

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]]> TD failed to oversee Treasuries trader: U.S. regulators https://www.investmentexecutive.com/news/from-the-regulators/td-failed-to-oversee-treasuries-trader-u-s-regulators/ Mon, 30 Sep 2024 21:39:02 +0000 https://www.investmentexecutive.com/?p=493662 Trader engaged in widespread spoofing, authorities alleged

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]]> RBC DS sanctioned for trading rule breach https://www.investmentexecutive.com/news/from-the-regulators/rbc-ds-sanctioned-for-trading-rule-breach/ Mon, 30 Sep 2024 19:15:29 +0000 https://www.investmentexecutive.com/?p=493643 Block trade in interlisted stock was executed off-exchange without regulatory approval

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