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Keyword: Trading rules

172 results found
Magnifying glass on documents

Regulator examines use of discretion in ratings, following OBSI alert

Phone finances

SRO considers modernizing rules amid market, investor evolution

Inspecting papers

Exam division details compliance priorities for year ahead

Economic growth

ESMA promises transition oversight group to support move to faster settlement

Judge looks at papers

CIRO settles with firm over failure to question suspicious trading activity

Judge looks at papers

Regulatory order breach results in fine, disgorgement and a new ban

Judge's gavel with magnifying glass on black.

Trader engaged in widespread spoofing, authorities alleged

Gavel and Money - Canada stock photo

Block trade in interlisted stock was executed off-exchange without regulatory approval

Solar system

Initiative allows firms to test innovations, explore potential regulatory reforms

Late submission

Bank fined US$1.25 million over swaps reporting shortcomings