Settlement | Investment Executive https://www.investmentexecutive.com/tag/settlement/ Canada's news source for financial professionals Tue, 18 Nov 2025 18:41:38 +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 Settlement | Investment Executive https://www.investmentexecutive.com/tag/settlement/ 32 32 Court orders AMF tribunal to consider settlement https://www.investmentexecutive.com/news/court-orders-amf-tribunal-to-consider-settlement/ Tue, 18 Nov 2025 18:36:55 +0000 https://www.investmentexecutive.com/?p=525700 Adjudicator declined to review settlement before long enforcement hearing

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]]> TD Bank settles human rights complaint by B.C. Muslim-Indigenous man https://www.investmentexecutive.com/news/td-bank-settles-human-rights-complaint-by-b-c-muslim-indigenous-man/ Mon, 17 Nov 2025 15:10:14 +0000 https://www.investmentexecutive.com/?p=525591 The monetary values of the settlement haven't been made public

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]]> SIFMA surveys Treasury clearing readiness https://www.investmentexecutive.com/news/from-the-regulators/sifma-surveys-treasury-clearing-readiness/ Mon, 10 Nov 2025 22:17:05 +0000 https://www.investmentexecutive.com/?p=525104 North American firms lead Europe and Asia in preparations

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]]> IOSCO flags risks with financial sector plumbing https://www.investmentexecutive.com/news/from-the-regulators/iosco-flags-risks-with-financial-sector-plumbing/ Fri, 07 Nov 2025 21:04:51 +0000 https://www.investmentexecutive.com/?p=524930 Draft guidance aims to beef up risk management, capital, solvency planning

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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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]]> ESMA proposes T+1 reforms https://www.investmentexecutive.com/news/esma-proposes-t1-reforms/ Tue, 14 Oct 2025 18:53:19 +0000 https://www.investmentexecutive.com/?p=522576 Regulators recommend measures to facilitate faster settlement

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]]> 24/7 trading? Not so fast https://www.investmentexecutive.com/news/research-and-markets/24-7-trading-not-so-fast/ Thu, 11 Sep 2025 19:07:58 +0000 https://www.investmentexecutive.com/?p=519921 Trade group says extended trading brings risks alongside rewards

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]]> CDS proposes fee reforms https://www.investmentexecutive.com/news/from-the-regulators/cds-proposes-fee-reforms/ Thu, 04 Sep 2025 20:23:23 +0000 https://www.investmentexecutive.com/?p=519187 Plan includes cutting core clearing fees by 35% while scrapping rebates

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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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]]> CIRO tackles the dreaded account transfer problem https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackles-the-dreaded-account-transfer-problem/ Thu, 10 Jul 2025 16:26:29 +0000 https://www.investmentexecutive.com/?p=514965 SRO proposes rule changes, calls for an industry-wide technological solution

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