Electronic records – 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 Electronic records – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Private equity giants hit with SEC texting charges https://uat-phoenix.investmentexecutive.com/news/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 SEC sanctions Robinhood violations https://uat-phoenix.investmentexecutive.com/news/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 CSA to expand electronic access disclosure model https://uat-phoenix.investmentexecutive.com/news/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 TD, RBC sanctioned by U.S. regulators https://uat-phoenix.investmentexecutive.com/news/td-rbc-sanctioned-by-u-s-regulators/ Thu, 15 Aug 2024 15:08:08 +0000 https://www.investmentexecutive.com/?p=491163 SEC sanctions advisory firm for private messaging https://uat-phoenix.investmentexecutive.com/news/sec-sanctions-advisory-firm-for-private-messaging/ Thu, 04 Apr 2024 18:39:57 +0000 https://www.investmentexecutive.com/?p=483140 CSA adopts electronic access model for company prospectuses https://uat-phoenix.investmentexecutive.com/news/csa-adopts-electronic-access-model-for-company-prospectuses/ Thu, 11 Jan 2024 19:12:54 +0000 https://www.investmentexecutive.com/?p=478487 CSA to combine disclosure, delivery reforms https://uat-phoenix.investmentexecutive.com/news/csa-to-combine-disclosure-delivery-reforms/ Tue, 03 Oct 2023 17:31:38 +0000 https://www.investmentexecutive.com/?p=472560 SEC, CFTC hit delete on firms’ WhatsApp, texting https://uat-phoenix.investmentexecutive.com/news/sec-cftc-hit-delete-on-firms-whatsapp-texting/ Fri, 29 Sep 2023 16:01:58 +0000 https://www.investmentexecutive.com/?p=472411 BMO, Wall Street firms sanctioned for app violations https://uat-phoenix.investmentexecutive.com/news/bmo-wall-street-firms-sanctioned-for-app-violations/ Tue, 08 Aug 2023 15:40:56 +0000 https://www.investmentexecutive.com/?p=469784 SEC modernizes recordkeeping rules https://uat-phoenix.investmentexecutive.com/news/sec-modernizes-recordkeeping-rules/ Wed, 12 Oct 2022 17:57:29 +0000 https://www.investmentexecutive.com/?p=453456