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Keyword: Trade execution

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Businessman working on Desk office business

Decision has implications for the Canadian Securities Administrators

scales of justice

The bank must also pay costs of $25,000

  • By: Staff
  • April 24, 2020 April 24, 2020
  • 14:25
Close up business man signing contract making a deal, classic business

The transaction isn’t expected to have a significant impact on BMO’s balance sheet

ALVAREZ / ISTOCKPHOTO

Clearpool Group Inc. has more than 100 clients, most of whom are U.S. broker dealers

  • By: Staff
  • January 22, 2020 January 22, 2020
  • 10:50
Analyst is drawing a financial calculations and predictions on the glass screen. Graphs, charts and arrows everywhere. A concept of forex market.

Spending on market and alternative data will only go up, a Greenwich survey finds

Securities trending down

Companies seeking private capital can now connect to investment dealers through the service

gavel on a wooden bench

The non-compliant procedure resulted in no client harm

  • By: Staff
  • October 18, 2019 October 18, 2019
  • 16:43
courtroom gavel

The traders disclosed detailed information about customer orders in online chatrooms, the regulator says

Gavel

The OSC found the firm directed client trades through an affiliated dealer when better terms were available elsewhere

File

New rules take effect Sept. 6

  • By: Staff
  • June 6, 2019 June 6, 2019
  • 13:50