Market manipulation | Investment Executive https://www.investmentexecutive.com/tag/market-manipulation/ Canada's news source for financial professionals Thu, 19 Mar 2026 16:24:51 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Market manipulation | Investment Executive https://www.investmentexecutive.com/tag/market-manipulation/ 32 32 IOSCO seeks improved oversight of OTC markets https://www.investmentexecutive.com/news/iosco-seeks-improved-oversight-of-otc-markets-2/ Thu, 19 Mar 2026 16:24:51 +0000 https://www.investmentexecutive.com/?p=534288 Regulators flag risk of buildup of large, opaque trading positions

The post IOSCO seeks improved oversight of OTC markets appeared first on Investment Executive.

]]> BCSC pursues disgorgement in long-running case https://www.investmentexecutive.com/news/bcsc-pursues-disgorgement-in-long-running-case/ Wed, 18 Mar 2026 17:12:54 +0000 https://www.investmentexecutive.com/?p=534177 Panel lifts stay, refines order in case that led to landmark ruling

The post BCSC pursues disgorgement in long-running case appeared first on Investment Executive.

]]> SEC focuses OTC market rules https://www.investmentexecutive.com/news/sec-focuses-otc-market-rules/ Tue, 17 Mar 2026 19:01:12 +0000 https://www.investmentexecutive.com/?p=534052 Regulator seeks to limit brokers' OTC requirements to equities

The post SEC focuses OTC market rules appeared first on Investment Executive.

]]> SEC’s new enforcement chief resigns https://www.investmentexecutive.com/news/secs-new-enforcement-chief-resigns/ Mon, 16 Mar 2026 20:37:32 +0000 https://www.investmentexecutive.com/?p=533936 Former judge leaves agency after just over six months

The post SEC’s new enforcement chief resigns appeared first on Investment Executive.

]]> Canaccord failed to flag suspicious trading: U.S. regs https://www.investmentexecutive.com/news/canaccord-failed-to-flag-suspicious-trading-u-s-regs/ Fri, 06 Mar 2026 17:30:06 +0000 https://www.investmentexecutive.com/?p=533357 Enforcement action targets weaknesses in AML controls, compliance

The post Canaccord failed to flag suspicious trading: U.S. regs appeared first on Investment Executive.

]]> CIRO issues series of guidance updates https://www.investmentexecutive.com/uncategorized/ciro-issues-series-of-guidance-updates/ Tue, 24 Feb 2026 09:00:39 +0000 https://www.investmentexecutive.com/?p=532381 SRO modernizes market regulation guidance

The post CIRO issues series of guidance updates appeared first on Investment Executive.

]]> Pair ran massive market manipulation scheme: SEC https://www.investmentexecutive.com/news/pair-ran-massive-market-manipulation-scheme-sec/ Thu, 05 Feb 2026 20:24:40 +0000 https://www.investmentexecutive.com/?p=531185 Firm allegedly touted stocks on social media, while selling its holdings

The post Pair ran massive market manipulation scheme: SEC appeared first on Investment Executive.

]]> Bankers sanctioned over plot to tank Qatari economy https://www.investmentexecutive.com/news/bankers-sanctioned-over-plot-to-tank-qatari-economy/ Wed, 04 Feb 2026 17:18:46 +0000 https://www.investmentexecutive.com/?p=531051 Tribunal upholds FCA decision, reduces bank's penalty

The post Bankers sanctioned over plot to tank Qatari economy appeared first on Investment Executive.

]]> New Brunswick bolsters investor protection https://www.investmentexecutive.com/news/new-brunswick-bolsters-investor-protection/ Wed, 28 Jan 2026 15:15:38 +0000 https://www.investmentexecutive.com/?p=530416 Bill raises enforcement penalties, enables binding dispute resolution

The post New Brunswick bolsters investor protection appeared first on Investment Executive.

]]> OSC’s disclosure issues didn’t justify stay: Tribunal https://www.investmentexecutive.com/news/oscs-disclosure-issues-didnt-justify-stay-tribunal/ Mon, 26 Jan 2026 14:40:19 +0000 https://www.investmentexecutive.com/?p=530149 Panel sought alternative remedy to address disclosure concerns

The post OSC’s disclosure issues didn’t justify stay: Tribunal appeared first on Investment Executive.

]]>