Trading rules | Investment Executive https://www.investmentexecutive.com/tag/trading-rules/ Canada's news source for financial professionals Thu, 26 Feb 2026 20:39:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 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

The post ESMA highlights AI risks in algo trading appeared first on Investment Executive.

]]> 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

The post BMO, ex-trader sanctioned in front-running case appeared first on Investment Executive.

]]> 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

The post CIRO issues series of guidance updates appeared first on Investment Executive.

]]> 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

The post ESMA sanctions trade reporting breaches appeared first on Investment Executive.

]]> 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

The post CIRO sanctions firm, exec for trading misconduct appeared first on Investment Executive.

]]> 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

The post SEC settles cherry-picking case against advisory firm appeared first on Investment Executive.

]]> 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

The post New Brunswick bolsters investor protection appeared first on Investment Executive.

]]> CIRO trading increment reforms approved https://www.investmentexecutive.com/uncategorized/ciro-trading-increment-reforms-approved/ Fri, 19 Dec 2025 11:00:39 +0000 https://www.investmentexecutive.com/?p=528162 Changes allow SRO to match SEC on standards for inter-listed stocks

The post CIRO trading increment reforms approved appeared first on Investment Executive.

]]> CIRO settles with dealer for oversight lapse https://www.investmentexecutive.com/uncategorized/ciro-settles-with-dealer-for-oversight-lapse/ Wed, 17 Dec 2025 13:00:55 +0000 https://www.investmentexecutive.com/?p=527901 External provider stopped including CSE stocks in trading reports

The post CIRO settles with dealer for oversight lapse appeared first on Investment Executive.

]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/fca-consults-on-crypto-rules-3/ Tue, 16 Dec 2025 21:07:42 +0000 https://www.investmentexecutive.com/?p=527876 U.K. regulator's proposals aim to support innovation while protecting consumers

The post FCA consults on crypto rules appeared first on Investment Executive.

]]>