Privacy – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 22 Mar 2024 20:34:59 +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 Privacy – Investment Executive https://www.investmentexecutive.com 32 32 FinTRAC still coping with cyberbreach https://www.investmentexecutive.com/news/from-the-regulators/fintrac-still-coping-with-cyberbreach/ Fri, 22 Mar 2024 20:34:59 +0000 https://www.investmentexecutive.com/?p=482622 Agency says no evidence that information was lost in attack

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]]> Court rejects latest bid to derail OSC case against Edward Gong https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-latest-bid-to-derail-osc-case-against-edward-gong/ Fri, 08 Mar 2024 19:18:45 +0000 https://www.investmentexecutive.com/?p=481914 Tribunal decisions aren't final until sanctions imposed, court says

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]]> FINTRAC faces cyber incident https://www.investmentexecutive.com/news/from-the-regulators/fintrac-faces-cyber-incident/ Mon, 04 Mar 2024 22:07:09 +0000 https://www.investmentexecutive.com/?p=481515 Anti-money laundering agency takes systems offline as a precaution

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]]> Rep sanctioned for advising via Discord platform https://www.investmentexecutive.com/news/from-the-regulators/rep-sanctioned-for-advising-via-discord-platform/ Tue, 27 Feb 2024 18:40:15 +0000 https://www.investmentexecutive.com/?p=481144 Online posts amounted to securities-related business, CIRO panel found

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]]> OSC shines a light on “dark” arts of online investing https://www.investmentexecutive.com/news/from-the-regulators/osc-shines-a-light-on-dark-arts-of-online-investing/ Wed, 21 Feb 2024 19:15:10 +0000 https://www.investmentexecutive.com/?p=480811 Investors face risks from sludge, nudges and other hidden tactics

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]]> 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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]]> OSFI, FCAC to explore industry plans for AI, quantum computing https://www.investmentexecutive.com/news/from-the-regulators/osfi-fcac-to-explore-industry-plans-for-ai-quantum-computing/ Wed, 20 Dec 2023 18:39:17 +0000 https://www.investmentexecutive.com/?p=477650 Study of firms' plans for advanced tech will inform regulation and oversight

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]]> B.C. court rejects challenge to regulator’s summons https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-rejects-challenge-to-regulators-summons/ Mon, 27 Nov 2023 21:24:56 +0000 https://www.investmentexecutive.com/?p=476073 Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

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]]> FINRA enters the quantum realm https://www.investmentexecutive.com/news/from-the-regulators/finra-enters-the-quantum-realm/ Mon, 30 Oct 2023 19:51:00 +0000 https://www.investmentexecutive.com/?p=474236 SRO examines potential implications of a computing revolution

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]]> OSC grapples with promise, risks of AI https://www.investmentexecutive.com/news/from-the-regulators/osc-grapples-with-promise-risks-of-ai/ Tue, 10 Oct 2023 15:56:39 +0000 https://www.investmentexecutive.com/?p=472875 Advisory and customer service functions are among the most advanced AI uses, a report says

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