Trading rules – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Apr 2024 21:31:24 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Trading rules – Investment Executive https://www.investmentexecutive.com 32 32 CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> SEC sanctions advisory firm for private messaging https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-advisory-firm-for-private-messaging/ Thu, 04 Apr 2024 18:39:57 +0000 https://www.investmentexecutive.com/?p=483140 Off-channel communications hamper regulatory oversight

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]]> Risks arise as exchanges evolve, IOSCO says https://www.investmentexecutive.com/news/from-the-regulators/risks-arise-as-exchanges-evolve-iosco-says/ Thu, 04 Apr 2024 18:12:30 +0000 https://www.investmentexecutive.com/?p=483148 Expansion of business lines multiplies conflicts and regulatory challenges

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]]> U.K. consults on a digital securities sandbox https://www.investmentexecutive.com/news/from-the-regulators/u-k-consults-on-a-digital-securities-sandbox/ Wed, 03 Apr 2024 17:55:49 +0000 https://www.investmentexecutive.com/?p=483100 Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

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]]> CIRO gets clean bill of health from CSA https://www.investmentexecutive.com/news/from-the-regulators/ciro-gets-clean-bill-of-health-from-csa/ Thu, 28 Mar 2024 20:34:10 +0000 https://www.investmentexecutive.com/?p=482950 First oversight review finds SRO complying with recognition order

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]]> Europe hesitant over T+1 move https://www.investmentexecutive.com/news/from-the-regulators/europe-hesitant-over-t1-move/ Thu, 21 Mar 2024 18:51:45 +0000 https://www.investmentexecutive.com/?p=482469 ESMA consultation finds mixed feelings on shorter settlement cycle

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]]> Boosting European trading data transparency a plus: Moody’s https://www.investmentexecutive.com/news/research-and-markets/boosting-european-trading-data-transparency-a-plus-moodys/ Mon, 22 Jan 2024 20:57:23 +0000 https://www.investmentexecutive.com/?p=479065 Policymakers to implement consolidated tapes, ban payments for order flow

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]]> CIRO aims to beef up short-selling requirements https://www.investmentexecutive.com/news/from-the-regulators/ciro-aims-to-beef-up-short-selling-requirements/ Thu, 11 Jan 2024 22:03:38 +0000 https://www.investmentexecutive.com/?p=478495 Self-regulatory organization proposes new settlement obligation and expanded guidance

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]]> European regulators to review pre-trade controls adopted to prevent flash crashes https://www.investmentexecutive.com/news/from-the-regulators/european-regulators-to-review-pre-trade-controls-adopted-to-prevent-flash-crashes/ Thu, 11 Jan 2024 20:04:28 +0000 https://www.investmentexecutive.com/?p=478482 Guards against "fat finger" error to face regs’ scrutiny

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