Insider trading | Investment Executive https://www.investmentexecutive.com/tag/insider-trading/ Canada's news source for financial professionals Wed, 26 Nov 2025 18:17:39 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Insider trading | Investment Executive https://www.investmentexecutive.com/tag/insider-trading/ 32 32 FCA charges investment banker with insider dealing https://www.investmentexecutive.com/news/fca-charges-investment-banker-with-insider-dealing/ Wed, 26 Nov 2025 18:17:39 +0000 https://www.investmentexecutive.com/?p=526379 Regulator alleges banker tipped friend to pending takeover in 2021

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]]> FCA to save £100 million with trade reporting reform https://www.investmentexecutive.com/news/fca-to-save-100-million-with-trade-reporting-reform/ Tue, 25 Nov 2025 21:49:09 +0000 https://www.investmentexecutive.com/?p=526110 Streamlining reporting requirements to generate industry savings

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]]> ASIC targets private credit for enforcement https://www.investmentexecutive.com/news/asic-targets-private-credit-for-enforcement/ Wed, 12 Nov 2025 21:31:41 +0000 https://www.investmentexecutive.com/?p=525283 Regulator details enforcement priorities for the year ahead

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]]> Woman sanctioned for insider trading https://www.investmentexecutive.com/news/from-the-regulators/woman-sanctioned-for-insider-trading/ Mon, 27 Oct 2025 07:00:55 +0000 https://www.investmentexecutive.com/?p=523567 Pair traded ahead of Penn Gaming's bid for Score Media in 2021: OSC

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]]> SEC seeks to curb CAT costs https://www.investmentexecutive.com/news/from-the-regulators/sec-seeks-to-curb-cat-costs/ Tue, 30 Sep 2025 18:44:44 +0000 https://www.investmentexecutive.com/?p=521548 Regulator issues order designed to reduce audit trail operating costs

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]]> Couple settles insider trading case https://www.investmentexecutive.com/news/from-the-regulators/couple-settles-insider-trading-case/ Fri, 26 Sep 2025 20:04:04 +0000 https://www.investmentexecutive.com/?p=521356 Score exec used wife's friend to trade ahead of Penn Gaming deal

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]]> U.S. exec sanctioned for insider trading https://www.investmentexecutive.com/news/from-the-regulators/u-s-exec-sanctioned-for-insider-trading/ Wed, 24 Sep 2025 18:50:48 +0000 https://www.investmentexecutive.com/?p=521064 Trader exploited material, non-public information on numerous companies

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]]> SEC settles adviser ‘cherry picking’ case https://www.investmentexecutive.com/news/from-the-regulators/sec-settles-adviser-cherry-picking-case/ Wed, 27 Aug 2025 14:18:23 +0000 https://www.investmentexecutive.com/?p=518464 Exec allegedly allocated unfair share of winning trades to his own account

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]]> BCSC settles disclosure breach, drops insider trading allegation https://www.investmentexecutive.com/news/from-the-regulators/bcsc-settles-disclosure-breach-drops-insider-trading-allegation/ Mon, 25 Aug 2025 19:47:57 +0000 https://www.investmentexecutive.com/?p=518331 Executive, airline pay $100,000 for failing to disclose material change

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]]> SEC charges three in Kaman insider trading case https://www.investmentexecutive.com/news/from-the-regulators/sec-charges-three-in-kaman-insider-trading-case/ Tue, 19 Aug 2025 20:24:40 +0000 https://www.investmentexecutive.com/?p=517833 Regulator alleges more than US$1M in profits were generated

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