FCA approves exchange's plan for a new platform for private equity trading
Regulator finds "directed IOI" order type violates market access principle
Canadian exchanges among foreign venues expanding role in Aussie markets
Tribunal's finding that 2004 trading ban was breached is upheld on appeal
SRO to mimic U.S. regulatory halts for stock-tracking vehicles
Wide range of proposals, from market structure to broker conflict issues, dropped
New regime aims to facilitate trading in shares of companies that aren't ready to go public
Regulator proposes broad prohibition on trading in connection with offerings
Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm
New firm failed to adequately review trading, client comms, SRO alleged