Clearing – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 07 Feb 2025 16:37:55 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Clearing – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Stable outlook for U.S. retail brokers: Moody’s https://uat-phoenix.investmentexecutive.com/news/research-and-markets/stable-outlook-for-u-s-retail-brokers-moodys/ Fri, 07 Feb 2025 16:37:55 +0000 https://www.investmentexecutive.com/?p=501984 Demand for advice, strong markets to drive growth in client assets

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FINRA sanctions custody firm https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/finra-sanctions-custody-firm/ Tue, 04 Feb 2025 18:33:21 +0000 https://www.investmentexecutive.com/?p=501686 Investors didn't get paid for lending securities, SRO alleged

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Europe launches T+1 committees https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/europe-launches-t1-committees/ Wed, 22 Jan 2025 20:08:43 +0000 https://www.investmentexecutive.com/?p=500759 Industry committee to lead technical work on transition to faster settlement

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Global regs seek safer margin calls https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/global-regs-seek-safer-margin-calls/ Wed, 15 Jan 2025 22:30:10 +0000 https://www.investmentexecutive.com/?p=500312 Policymakers aim to address issues exposed in March 2020 market stress

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CIRO panel revokes third-party order https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ciro-panel-revokes-third-party-order/ Mon, 13 Jan 2025 22:14:03 +0000 https://www.investmentexecutive.com/?p=500120 Earlier decision requiring clearing broker to produce records overturned

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CIRO floats short-selling reforms https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ciro-floats-short-selling-reforms/ Thu, 09 Jan 2025 20:10:24 +0000 https://www.investmentexecutive.com/?p=499895 SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

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Europe gears up for new crypto rules https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/europe-gears-up-for-new-crypto-rules/ Tue, 17 Dec 2024 18:55:32 +0000 https://www.investmentexecutive.com/?p=498702 ESMA issues series of guidance ahead of new regime's launch at year end

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FSB details resolution planning progress https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fsb-details-resolution-planning-progress/ Thu, 05 Dec 2024 21:54:15 +0000 https://www.investmentexecutive.com/?p=498007 Group publishes first annual list of insurers that face global resolution standards

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Exchanges, clearing agencies to thrive in 2025 https://uat-phoenix.investmentexecutive.com/news/research-and-markets/exchanges-clearing-agencies-to-thrive-in-2025/ Mon, 02 Dec 2024 18:14:49 +0000 https://www.investmentexecutive.com/?p=497759 Sector to enjoy strong volumes, diversification, helpful regulation: Fitch

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ESMA calls for T+1 in 2027 https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/esma-calls-for-t1-in-2027/ Mon, 18 Nov 2024 17:39:34 +0000 https://www.investmentexecutive.com/?p=496886 European regulator says transition will enhance market efficiency, resilience

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