Settlement – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 31 Jan 2025 19:41:50 +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 Settlement – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 ESMA issues crypto guidance https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/esma-issues-crypto-guidance/ Fri, 31 Jan 2025 19:41:50 +0000 https://www.investmentexecutive.com/?p=501489 Regulator seeks consistent implementation of new regime, avoiding arbitrage

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]]> ASC, BCSC join settlement with crypto companies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/asc-bcsc-join-settlement-with-crypto-companies/ Fri, 24 Jan 2025 19:05:57 +0000 https://www.investmentexecutive.com/?p=500961 Settlement provides refunds to investors that bought variety of digital assets

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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 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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]]> BCSC sanctions trading scheme’s promoter https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-trading-schemes-promoter/ Wed, 08 Jan 2025 18:53:45 +0000 https://www.investmentexecutive.com/?p=499799 Regulator settles for less disgorgement than usual, given inability to pay

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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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]]> Sweeps buoyed SEC enforcement: report https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sweeps-buoyed-sec-enforcement-report/ Fri, 22 Nov 2024 12:00:45 +0000 https://www.investmentexecutive.com/?p=497225 Brokers' texting, whistleblower protections among regulator's priorities

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