Trading rules | Investment Executive https://www.investmentexecutive.com/tag/trading-rules/ Canada's news source for financial professionals Tue, 17 Mar 2026 19:01:12 +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 Trading rules | Investment Executive https://www.investmentexecutive.com/tag/trading-rules/ 32 32 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

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]]> 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

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]]> FCA to review U.K.’s new listing rules https://www.investmentexecutive.com/news/fca-to-review-u-k-s-new-listing-rules/ Tue, 03 Mar 2026 19:19:13 +0000 https://www.investmentexecutive.com/?p=533053 Regulator to reconsider diversification requirements for listed funds

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]]> ESMA highlights AI risks in algo trading https://www.investmentexecutive.com/news/esma-highlights-ai-risks-in-algo-trading/ Thu, 26 Feb 2026 20:39:47 +0000 https://www.investmentexecutive.com/?p=532718 Regulator issues guidance to beef up the supervision of automated trading

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]]> BMO, ex-trader sanctioned in front-running case https://www.investmentexecutive.com/news/bmo-ex-trader-sanctioned-in-front-running-case/ Wed, 25 Feb 2026 15:56:03 +0000 https://www.investmentexecutive.com/?p=532548 MX agrees to $289,000 in fines and costs ordered against firm, former trader

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]]> 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

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]]> ESMA sanctions trade reporting breaches https://www.investmentexecutive.com/uncategorized/esma-sanctions-trade-reporting-breaches/ Fri, 20 Feb 2026 11:00:24 +0000 https://www.investmentexecutive.com/?p=532189 Regulator levies record fine against Luxembourg-based firm

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]]> CIRO sanctions firm, exec for trading misconduct https://www.investmentexecutive.com/news/ciro-sanctions-firm-exec-for-trading-misconduct/ Thu, 19 Feb 2026 14:15:12 +0000 https://www.investmentexecutive.com/?p=532076 Panel issues fines, disgorgement, along with suspensions

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]]> SEC settles cherry-picking case against advisory firm https://www.investmentexecutive.com/news/sec-settles-cherry-picking-case-against-advisory-firm/ Wed, 11 Feb 2026 14:40:16 +0000 https://www.investmentexecutive.com/?p=531451 Firm breached fiduciary duty by unfairly allocating losing trades to clients

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]]> 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

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