Insider trading – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 25 Mar 2024 17:56:39 +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 Insider trading – Investment Executive https://www.investmentexecutive.com 32 32 ESMA finalizes first set of crypto standards https://www.investmentexecutive.com/news/from-the-regulators/esma-finalizes-first-set-of-crypto-standards/ Mon, 25 Mar 2024 17:56:39 +0000 https://www.investmentexecutive.com/?p=482660 Regulators craft detailed standards to implement new crypto regime

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]]> Court upholds tribunal findings in Amaya case https://www.investmentexecutive.com/news/from-the-regulators/court-upholds-tribunal-findings-in-amaya-case/ Wed, 20 Mar 2024 19:33:28 +0000 https://www.investmentexecutive.com/?p=482414 Appeals by advisor, analyst in insider trading case dismissed

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]]> OSC awards tipster $1.5 million https://www.investmentexecutive.com/news/from-the-regulators/osc-awards-tipster-1-5-million/ Tue, 27 Feb 2024 18:14:42 +0000 https://www.investmentexecutive.com/?p=481139 Information expanded an investigation, helped protect investors

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]]> CEO failed to report trades, BCSC alleges https://www.investmentexecutive.com/news/from-the-regulators/ceo-failed-to-report-trades-bcsc-alleges/ Mon, 26 Feb 2024 19:58:05 +0000 https://www.investmentexecutive.com/?p=481077 No evidence that executive tried to hide insider trades

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]]> SEC beefs up personal trading rules https://www.investmentexecutive.com/news/from-the-regulators/sec-beefs-up-personal-trading-rules/ Fri, 23 Feb 2024 21:25:12 +0000 https://www.investmentexecutive.com/?p=481005 Financial sector funds now out of bounds for regulator's employees

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]]> Remote working spawns insider-trading case https://www.investmentexecutive.com/news/from-the-regulators/remote-working-spawns-insider-trading-case/ Fri, 23 Feb 2024 14:11:29 +0000 https://www.investmentexecutive.com/?p=480937 U.S. authorities allege man secretly traded after overhearing wife's M&A deal

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]]> Ex-Goldman analyst convicted for U.K. insider trading https://www.investmentexecutive.com/news/from-the-regulators/ex-goldman-analyst-convicted-for-u-k-insider-trading/ Thu, 15 Feb 2024 20:12:00 +0000 https://www.investmentexecutive.com/?p=480616 FCA alleged analyst traded on information about pending merger deals

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]]> Wall Street analyst pleads guilty to insider trading https://www.investmentexecutive.com/news/from-the-regulators/wall-street-analyst-pleads-guilty-to-insider-trading/ Fri, 12 Jan 2024 19:36:21 +0000 https://www.investmentexecutive.com/?p=478552 Trio traded on inside information about pending mergers and acquisitions

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]]> Morgan Stanley sanctioned for misusing block info https://www.investmentexecutive.com/news/from-the-regulators/morgan-stanley-sanctioned-for-misusing-block-info/ Fri, 12 Jan 2024 19:07:15 +0000 https://www.investmentexecutive.com/?p=478546 Firm and executive settled charges with SEC, SDNY

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]]> IOSCO drops final crypto sector recommendations https://www.investmentexecutive.com/news/from-the-regulators/iosco-drops-final-crypto-sector-recommendations/ Thu, 16 Nov 2023 18:39:36 +0000 https://www.investmentexecutive.com/?p=475481 Umbrella group aims to establish minimum global standards for sector

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