Trading rules | Investment Executive https://www.investmentexecutive.com/tag/trading-rules/ Canada's news source for financial professionals Fri, 10 Apr 2026 20:33:32 +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 OSC seeks settlement with ATS over trade controls https://www.investmentexecutive.com/news/osc-seeks-settlement-with-ats-over-trade-controls/ Fri, 10 Apr 2026 20:33:32 +0000 https://www.investmentexecutive.com/?p=536100 Tribunal to consider settlement with Liquidnet over allegedly faulty controls

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]]> Canadian regulators are opening the doors to prediction markets https://www.investmentexecutive.com/news/canadian-regulators-are-opening-the-doors-to-prediction-markets/ Wed, 08 Apr 2026 18:31:50 +0000 https://www.investmentexecutive.com/?p=535766 With Wealthsimple, Questrade and other potential entrants in Canada, industry observers are concerned about possible risks

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]]> CIRO proposes short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> CIRO wraps guidance update project https://www.investmentexecutive.com/news/ciro-wraps-guidance-update-project/ Fri, 27 Mar 2026 20:28:30 +0000 https://www.investmentexecutive.com/?p=535103 SRO issues revisions to gatekeeper, trading supervision obligations

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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]]> FCA sanctions firm’s failure to oversee CFD trading https://www.investmentexecutive.com/news/fca-sanctions-firms-failure-to-oversee-cfd-trading/ Fri, 27 Mar 2026 18:46:06 +0000 https://www.investmentexecutive.com/?p=535043 Trading engine upgrade not matched by surveillance

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]]> Wealthsimple gets regulatory green light to get in on prediction markets https://www.investmentexecutive.com/news/wealthsimple-gets-regulatory-green-light-to-get-in-on-prediction-markets/ Wed, 25 Mar 2026 21:41:32 +0000 https://www.investmentexecutive.com/?p=534843 It's the second firm in Canada to receive approval to offer futures and forecast contracts

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]]> 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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