Information security – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Wed, 05 Feb 2025 22:41:19 +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 Information security – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Court allows parallel class actions in data breach https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/court-allows-parallel-class-actions-in-data-breach/ Wed, 05 Feb 2025 22:41:19 +0000 https://www.investmentexecutive.com/?p=501875 B.C. court refuses to dismiss case, despite similar action in Ontario

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]]> Open banking is promising, will take time: DBRS https://uat-phoenix.investmentexecutive.com/news/research-and-markets/open-banking-is-promising-will-take-time-dbrs/ Thu, 30 Jan 2025 20:51:06 +0000 https://www.investmentexecutive.com/?p=501353 Competition may get a boost, but Big Six will remain dominant

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]]> BigTechs’ foray into financials draws scrutiny https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bigtechs-foray-into-financials-draws-scrutiny/ Fri, 02 Feb 2024 18:55:06 +0000 https://www.investmentexecutive.com/?p=479750 European regulators worry about oversight weaknesses

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]]> SEC alleges Virtu failed to guard client data https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-alleges-virtu-failed-to-guard-client-data/ Wed, 13 Sep 2023 21:02:56 +0000 https://www.investmentexecutive.com/?p=471527 Firm rejects regulator's allegations, cites political motive for action

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]]> BMO, Wall Street firms sanctioned for app violations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bmo-wall-street-firms-sanctioned-for-app-violations/ Tue, 08 Aug 2023 15:40:56 +0000 https://www.investmentexecutive.com/?p=469784 Regulators fined firms a total US$549 million for record-keeping failures

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]]> FSRA proposes cyber guidance for title credentialing bodies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fsra-proposes-cyber-guidance-for-title-credentialing-bodies/ Mon, 23 Jan 2023 20:37:35 +0000 https://www.investmentexecutive.com/?p=459094 Groups issuing financial planner and advisor titles must meet cybersecurity guidelines

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]]> CSA provides guidance to trading venues on reporting systems failures https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/csa-provides-guidance-to-trading-venues-on-reporting-systems-failures/ Fri, 15 Mar 2019 17:41:02 +0000 https://www.investmentexecutive.com/?p=378468 The guidance outlines the types of incidents that must be reported, and what reports should include

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]]> SIFMA releases data aggregation principles https://uat-phoenix.investmentexecutive.com/news/industry-news/sifma-releases-data-aggregation-principles/ Thu, 12 Apr 2018 20:00:55 +0000 https://www.investmentexecutive.com/?p=349058 The goal is to help clients better protect their data

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]]> Online impersonations put advisors at risk https://uat-phoenix.investmentexecutive.com/inside-track_/ellen-bessner/online-impersonations-put-advisors-at-risk/ Sun, 27 Aug 2017 22:00:00 +0000 https://www.investmentexecutive.com/uncategorized/online-impersonations-put-advisors-at-risk/ Resist the temptation to help clients in a way that breaches your legal and regulatory obligations

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]]> Communicate securely with clients https://uat-phoenix.investmentexecutive.com/inside-track_/yan-huard/communicate-securely-with-clients/ Thu, 28 Jul 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/communicate-securely-with-clients/ Financial advisors need to balance the way they transmit information with the importance of the data they are sending

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