Electronic trading – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 31 Jan 2025 21:06:13 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Electronic trading – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> CFTC pledges enhanced public consultation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cftc-pledges-enhanced-public-consultation/ Mon, 27 Jan 2025 20:22:13 +0000 https://www.investmentexecutive.com/?p=501044 Regulator to seek feedback on emerging issues, particularly in crypto

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]]> Credit conditions tightened in late 2024: ECB https://uat-phoenix.investmentexecutive.com/news/research-and-markets/credit-conditions-tightened-in-late-2024-ecb/ Mon, 20 Jan 2025 19:49:11 +0000 https://www.investmentexecutive.com/?p=500598 Declining liquidity contributed to tighter credit terms, survey finds

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]]> Quant funds failed to guard models: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

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]]> Broker fined for unauthorized access violations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/broker-fined-for-unauthorized-access-violations/ Thu, 09 Jan 2025 19:53:09 +0000 https://www.investmentexecutive.com/?p=499862 Marex Capital Markets sanctioned in settlement with MX

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]]> CSA, CIRO pledge market structure reforms https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/csa-ciro-pledge-market-structure-reforms/ Fri, 20 Sep 2024 17:35:44 +0000 https://www.investmentexecutive.com/?p=493198 Canadian regulators plan measures to track SEC's trading rule reforms

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]]> SEC adopts sweeping market structure reforms https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-adopts-sweeping-market-structure-reforms/ Wed, 18 Sep 2024 17:50:49 +0000 https://www.investmentexecutive.com/?p=493024 Moves to sub-penny trading increments among reforms to reduce costs, enhance transparency

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]]> Trading games drive heavier, riskier activity: FCA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/trading-games-drive-heavier-riskier-activity-fca/ Thu, 20 Jun 2024 19:03:06 +0000 https://www.investmentexecutive.com/?p=488143 Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows

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]]> U.S. exchange rival planned https://uat-phoenix.investmentexecutive.com/news/industry-news/u-s-exchange-rival-planned/ Wed, 05 Jun 2024 17:09:01 +0000 https://www.investmentexecutive.com/?p=487201 New exchange venture raises US$120 million to finance launch

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]]> ‘Fat finger’ trading flub ends in fines for Citi https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fat-finger-trading-flub-ends-in-fines-for-citi/ Wed, 22 May 2024 16:19:33 +0000 https://www.investmentexecutive.com/?p=486297 Firm's controls failed to block massive trading goof

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