Short selling | Investment Executive https://www.investmentexecutive.com/tag/short-selling/ Canada's news source for financial professionals Tue, 28 Oct 2025 19:47:36 +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 Short selling | Investment Executive https://www.investmentexecutive.com/tag/short-selling/ 32 32 FCA proposes reforms to short-selling rules https://www.investmentexecutive.com/news/fca-proposes-reforms-to-short-selling-rules/ Tue, 28 Oct 2025 19:47:36 +0000 https://www.investmentexecutive.com/?p=523838 U.K. regulator seeks to reduce reporting burden, barrier to short activity

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]]> OSC takes aim at abusive short-selling https://www.investmentexecutive.com/news/from-the-regulators/osc-takes-aim-at-abusive-short-selling/ Thu, 05 Jun 2025 17:12:04 +0000 https://www.investmentexecutive.com/?p=511798 Regulator proposes broad prohibition on trading in connection with offerings

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]]> Ontario beefing up enforcement tools, sanctions https://www.investmentexecutive.com/news/industry-news/ontario-beefing-up-enforcement-tools-sanctions/ Fri, 16 May 2025 15:13:33 +0000 https://www.investmentexecutive.com/?p=509977 Budget boosts penalties, SRO powers, short selling rules

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]]> Shareholder activists stay busy https://www.investmentexecutive.com/news/industry-news/shareholder-activists-stay-busy/ Fri, 21 Feb 2025 20:22:43 +0000 https://www.investmentexecutive.com/?p=502997 Activism focused on increased M&A activity is expected in 2025

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]]> SEC sanctions Robinhood violations https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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]]> CIRO floats short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-floats-short-selling-reforms/ Thu, 09 Jan 2025 20:10:24 +0000 https://www.investmentexecutive.com/?p=499895 SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

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]]> Trader sanctioned for improper disclosure https://www.investmentexecutive.com/news/from-the-regulators/trader-sanctioned-for-improper-disclosure/ Tue, 26 Nov 2024 18:12:35 +0000 https://www.investmentexecutive.com/?p=497431 Hedge fund traded on information about firm's pending block trades

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]]> Case against Cormark was regulatory overreach: Tribunal https://www.investmentexecutive.com/news/from-the-regulators/case-against-cormark-was-regulatory-overreach-tribunal/ Thu, 07 Nov 2024 19:36:46 +0000 https://www.investmentexecutive.com/?p=496258 OSC failed to prove any of its allegations against dealer, investment banker

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]]> Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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]]> CIRO fines Stifel Nicolaus $475K for failing to protect confidential info https://www.investmentexecutive.com/news/from-the-regulators/ciro-fines-stifel-nicolaus-475k-for-failing-to-protect-confidential-info/ Fri, 23 Aug 2024 18:06:40 +0000 https://www.investmentexecutive.com/?p=491596 Info was used to enter into short sale transactions without Stifel's knowledge

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