Margin debt – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 17 Apr 2024 18:46:57 +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 Margin debt – Investment Executive https://www.investmentexecutive.com 32 32 Improving how shadow banks cope with stress https://www.investmentexecutive.com/news/from-the-regulators/improving-how-shadow-banks-cope-with-stress/ Wed, 17 Apr 2024 18:46:57 +0000 https://www.investmentexecutive.com/?p=484184 FSB proposes series of recommendations for addressing liquidity issues

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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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]]> Margin call claim must go to trial https://www.investmentexecutive.com/news/from-the-regulators/margin-call-claim-must-go-to-trial/ Wed, 27 Mar 2024 18:29:33 +0000 https://www.investmentexecutive.com/?p=482834 Question of whether client used stop loss orders requires hearing, court rules

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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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]]> IOSCO consults on margin best practices https://www.investmentexecutive.com/news/from-the-regulators/iosco-consults-on-margin-best-practices/ Wed, 14 Feb 2024 19:22:03 +0000 https://www.investmentexecutive.com/?p=480516 Seeks input by Apr. 14 aimed at improving markets' ability to handle elevated margin calls

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]]> CIRO revises derivatives rules for dealers https://www.investmentexecutive.com/news/from-the-regulators/ciro-revises-derivatives-rules-for-dealers/ Thu, 18 Jan 2024 21:26:35 +0000 https://www.investmentexecutive.com/?p=478978 First phase of reforms to take effect Sept. 28

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]]> Global regulators add guidance on margin practices https://www.investmentexecutive.com/news/from-the-regulators/global-regulators-add-guidance-on-margin-practices/ Wed, 17 Jan 2024 21:11:14 +0000 https://www.investmentexecutive.com/?p=478823 IOSCO, Basel Committee recommendations target non-central clearing markets

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]]> Global regulators issue margin proposals https://www.investmentexecutive.com/news/from-the-regulators/global-regulators-issue-margin-proposals/ Tue, 16 Jan 2024 20:06:55 +0000 https://www.investmentexecutive.com/?p=478743 Measures aim to address lessons of market turmoil in early 2020 and 2022

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> Economy not out of the woods yet, FSB warns https://www.investmentexecutive.com/news/from-the-regulators/economy-not-out-of-the-woods-yet-fsb-warns/ Tue, 05 Sep 2023 21:15:30 +0000 https://www.investmentexecutive.com/?p=471081 Leverage and liquidity risks lurk alongside rising financial stresses

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