Continuity planning – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 20 Feb 2024 20:39:04 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Continuity planning – Investment Executive https://www.investmentexecutive.com 32 32 CIRO arms firms to face ransomware attacks https://www.investmentexecutive.com/news/from-the-regulators/ciro-arms-firms-to-face-ransomware-attacks/ Tue, 20 Feb 2024 20:13:33 +0000 https://www.investmentexecutive.com/?p=480749 SRO publishes playbook for dealing with growing cyber threat

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]]> Small firms need living wills: OSC https://www.investmentexecutive.com/news/from-the-regulators/small-firms-need-living-wills-osc/ Fri, 26 Jan 2024 19:25:30 +0000 https://www.investmentexecutive.com/?p=479360 Regulator calls for continuity plans at one-man shops

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]]> IOSCO seeks more resilient trading https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-more-resilient-trading/ Fri, 15 Dec 2023 19:30:25 +0000 https://www.investmentexecutive.com/?p=477431 Most trading outages are traced back to software problems, it finds

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]]> Cyber-risk oversight a new top priority: ESMA https://www.investmentexecutive.com/news/from-the-regulators/cyber-risk-oversight-a-new-top-priority-esma/ Thu, 09 Nov 2023 19:15:33 +0000 https://www.investmentexecutive.com/?p=474937 Compliance concern joins greenwashing as a focus for European regulators

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]]> WFE proposes crypto regulation principles https://www.investmentexecutive.com/news/from-the-regulators/wfe-proposes-crypto-regulation-principles/ Thu, 28 Sep 2023 20:54:54 +0000 https://www.investmentexecutive.com/?p=472391 Trade group calls for crypto trading to face similar standards as traditional markets

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]]> CFRs, crypto firms top OSC compliance reviews https://www.investmentexecutive.com/news/from-the-regulators/cfrs-crypto-firms-top-osc-compliance-reviews/ Thu, 27 Jul 2023 19:37:31 +0000 https://www.investmentexecutive.com/?p=469340 Report on industry conflicts to be published soon with CSA, CIRO

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]]> CIRO to align compliance operations https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-align-compliance-operations/ Thu, 01 Jun 2023 17:01:24 +0000 https://www.investmentexecutive.com/?p=466699 Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

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]]> New SRO plans October business continuity test https://www.investmentexecutive.com/news/from-the-regulators/new-sro-plans-october-business-continuity-test/ Mon, 23 Jan 2023 21:09:34 +0000 https://www.investmentexecutive.com/?p=459106 The biennial exercise will be coordinated with the U.S. industry

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]]> Girding for the next financial calamity https://www.investmentexecutive.com/news/from-the-regulators/girding-for-the-next-financial-calamity/ Mon, 11 Jul 2022 17:57:50 +0000 https://www.investmentexecutive.com/?p=447764 IOSCO found lessons for resilience in the pandemic response

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]]> IOSCO seeks pandemic lessons in resilience https://www.investmentexecutive.com/news/from-the-regulators/iosco-seeks-pandemic-lessons-in-resilience/ Thu, 13 Jan 2022 20:22:49 +0000 https://www.investmentexecutive.com/?p=437391 Continuity planning enabled firms, trading venues to ride out disruption

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