Short selling – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 14 Jan 2025 19:23:36 +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 Short selling – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC sanctions Robinhood violations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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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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]]> Trader sanctioned for improper disclosure https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/trader-sanctioned-for-improper-disclosure/ Tue, 26 Nov 2024 18:12:35 +0000 https://www.investmentexecutive.com/?p=497431 Hedge fund traded on information about firm's pending block trades

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]]> Case against Cormark was regulatory overreach: Tribunal https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/case-against-cormark-was-regulatory-overreach-tribunal/ Thu, 07 Nov 2024 19:36:46 +0000 https://www.investmentexecutive.com/?p=496258 OSC failed to prove any of its allegations against dealer, investment banker

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]]> Ontario promises MGA licensing https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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]]> CIRO fines Stifel Nicolaus $475K for failing to protect confidential info https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/ciro-fines-stifel-nicolaus-475k-for-failing-to-protect-confidential-info/ Fri, 23 Aug 2024 18:06:40 +0000 https://www.investmentexecutive.com/?p=491596 Info was used to enter into short sale transactions without Stifel's knowledge

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]]> Activist short seller charged with securities fraud https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/activist-short-seller-charged-with-securities-fraud/ Fri, 26 Jul 2024 17:45:04 +0000 https://www.investmentexecutive.com/?p=490063 SEC, DoJ allege Citron Research, and its founder, misled investors

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]]> Much work to be done, CSA year in review shows https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> SEC alleges CEO engineered short squeeze https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-alleges-ceo-engineered-short-squeeze/ Tue, 25 Jun 2024 19:04:07 +0000 https://www.investmentexecutive.com/?p=488396 Company completed offering while valuation was inflated, regulator says

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]]> Advisers didn’t disclose work with short-sellers: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/advisers-didnt-disclose-work-with-short-sellers-sec/ Fri, 14 Jun 2024 17:53:52 +0000 https://www.investmentexecutive.com/?p=487784 Fund's strategy included working with publishers of bearish articles

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