Electronic records – Investment Executive https://www.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=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Electronic records – Investment Executive https://www.investmentexecutive.com 32 32 Private equity giants hit with SEC texting charges https://www.investmentexecutive.com/news/from-the-regulators/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 Regulator settles with 12 firms for a combined US$63.1 million

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]]> SEC sanctions Robinhood violations https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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]]> CSA to expand electronic access disclosure model https://www.investmentexecutive.com/news/from-the-regulators/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 Regulators aim to address concerns about retail investor protection

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]]> TD, RBC sanctioned by U.S. regulators https://www.investmentexecutive.com/news/from-the-regulators/td-rbc-sanctioned-by-u-s-regulators/ Thu, 15 Aug 2024 15:08:08 +0000 https://www.investmentexecutive.com/?p=491163 Firms charged over unapproved off-channel communications

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]]> SEC sanctions advisory firm for private messaging https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-advisory-firm-for-private-messaging/ Thu, 04 Apr 2024 18:39:57 +0000 https://www.investmentexecutive.com/?p=483140 Off-channel communications hamper regulatory oversight

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]]> CSA adopts electronic access model for company prospectuses https://www.investmentexecutive.com/news/from-the-regulators/csa-adopts-electronic-access-model-for-company-prospectuses/ Thu, 11 Jan 2024 19:12:54 +0000 https://www.investmentexecutive.com/?p=478487 Move aims to reduce the burden of printing and mailing disclosures to investors

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]]> CSA to combine disclosure, delivery reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-to-combine-disclosure-delivery-reforms/ Tue, 03 Oct 2023 17:31:38 +0000 https://www.investmentexecutive.com/?p=472560 Regulators to marry changes to disclosure rules with electronic access

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]]> SEC, CFTC hit delete on firms’ WhatsApp, texting https://www.investmentexecutive.com/news/from-the-regulators/sec-cftc-hit-delete-on-firms-whatsapp-texting/ Fri, 29 Sep 2023 16:01:58 +0000 https://www.investmentexecutive.com/?p=472411 Another 10 firms sanctioned for extensive recordkeeping violations

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]]> BMO, Wall Street firms sanctioned for app violations https://www.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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]]> SEC modernizes recordkeeping rules https://www.investmentexecutive.com/news/from-the-regulators/sec-modernizes-recordkeeping-rules/ Wed, 12 Oct 2022 17:57:29 +0000 https://www.investmentexecutive.com/?p=453456 Changes aim to adapt regulator's requirements to tech innovation

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