Market manipulation | Investment Executive https://www.investmentexecutive.com/tag/market-manipulation/ Canada's news source for financial professionals Tue, 25 Nov 2025 21:49:09 +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 Market manipulation | Investment Executive https://www.investmentexecutive.com/tag/market-manipulation/ 32 32 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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]]> CIRO undertakes phase two of guidance reno https://www.investmentexecutive.com/news/from-the-regulators/ciro-undertakes-phase-two-of-guidance-reno/ Thu, 06 Nov 2025 18:43:01 +0000 https://www.investmentexecutive.com/?p=524772 Project aims to ease trading rule compliance, not alter requirements

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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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]]> DoJ settles with BofA in spoofing case https://www.investmentexecutive.com/uncategorized/doj-settles-with-bofa-in-spoofing-case/ Mon, 22 Sep 2025 05:45:35 +0000 https://www.investmentexecutive.com/?p=520718 Firm avoides prosecution, agrees to disgorgement, restitution

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]]> Exec, advisor accused of pump-and-dump https://www.investmentexecutive.com/news/from-the-regulators/exec-advisor-accused-of-pump-and-dump/ Fri, 12 Sep 2025 18:26:56 +0000 https://www.investmentexecutive.com/?p=520085 Social media scheme allegedly netted US$100 million in illicit profits

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]]> CSA flags venture market pump-and-dump risk https://www.investmentexecutive.com/news/from-the-regulators/csa-flags-venture-market-pump-and-dump-risk/ Thu, 03 Jul 2025 18:17:07 +0000 https://www.investmentexecutive.com/?p=514280 Regulators warn about investors being misled by inflated venture acquisitions

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]]> Dealer sanctioned over gatekeeping failure https://www.investmentexecutive.com/news/from-the-regulators/dealer-sanctioned-over-gatekeeping-failure/ Thu, 03 Jul 2025 12:46:00 +0000 https://www.investmentexecutive.com/?p=514235 Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets

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]]> Tribunal upholds FCA market manipulation case https://www.investmentexecutive.com/news/from-the-regulators/tribunal-upholds-fca-market-manipulation-case/ Wed, 02 Jul 2025 18:00:56 +0000 https://www.investmentexecutive.com/?p=514177 Trio of traders engaged in spoofing in government bond markets, regulator alleged

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]]> Crypto ‘market maker’ sentenced in U.S. https://www.investmentexecutive.com/news/from-the-regulators/crypto-market-maker-sentenced-in-u-s/ Fri, 13 Jun 2025 19:17:59 +0000 https://www.investmentexecutive.com/?p=512554 Firm engaged in market manipulation for hire, SEC alleged

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]]> Aussie pump and dumpers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/aussie-pump-and-dumpers-plead-guilty/ Wed, 11 Jun 2025 12:50:14 +0000 https://www.investmentexecutive.com/?p=512281 Market manipulation planned on Telegram chats

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