Trading rules | Investment Executive https://www.investmentexecutive.com/tag/trading-rules/ Canada's news source for financial professionals Tue, 16 Dec 2025 22:03:56 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 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 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

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]]> 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

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]]> Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

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]]> Rep’s misconduct shouldn’t be career ending: SRO https://www.investmentexecutive.com/news/from-the-regulators/reps-misconduct-shouldnt-be-career-ending-sro/ Mon, 15 Dec 2025 21:13:59 +0000 https://www.investmentexecutive.com/?p=527774 Breach not worthy of year-long suspension, CIRO panel finds

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]]> Virtu sanctioned by SEC https://www.investmentexecutive.com/news/virtu-sanctioned-by-sec/ Thu, 04 Dec 2025 19:14:27 +0000 https://www.investmentexecutive.com/?p=526984 Regulator alleged firm failed to protect clients' trading data

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]]> FCA to save £100 million with trade reporting reform https://www.investmentexecutive.com/news/fca-to-save-100-million-with-trade-reporting-reform/ Tue, 25 Nov 2025 21:49:09 +0000 https://www.investmentexecutive.com/?p=526110 Streamlining reporting requirements to generate industry savings

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]]> New ATS promises trading innovation https://www.investmentexecutive.com/news/new-ats-promises-trading-innovation/ Fri, 21 Nov 2025 19:40:49 +0000 https://www.investmentexecutive.com/?p=526105 Trading venue plans to offer fractional trading, extended hours

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]]> FCA approves second private market player https://www.investmentexecutive.com/news/fca-approves-second-private-market-player/ Tue, 18 Nov 2025 20:40:07 +0000 https://www.investmentexecutive.com/?p=525714 New firm accepted into framework for facilitating trading in private securities

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]]> CIRO undertakes phase two of guidance reno https://www.investmentexecutive.com/news/from-the-regulators/ciro-undertakes-phase-two-of-guidance-reno/ Thu, 06 Nov 2025 18:43:01 +0000 https://www.investmentexecutive.com/?p=524772 Project aims to ease trading rule compliance, not alter requirements

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]]> MX finds BMO Nesbitt Burns engaged in front running https://www.investmentexecutive.com/news/mx-finds-bmo-nesbitt-burns-engaged-in-front-running/ Mon, 03 Nov 2025 19:13:48 +0000 https://www.investmentexecutive.com/?p=524382 Disciplinary committee concludes prop trades took advantage of client

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