Privacy – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 24 Oct 2024 20:08:57 +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 Metaverse poses challenges to securities industry https://www.investmentexecutive.com/news/from-the-regulators/metaverse-poses-challenges-to-securities-industry/ Thu, 24 Oct 2024 20:08:57 +0000 https://www.investmentexecutive.com/?p=495457 SRO examines industry's foray into virtual worlds

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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> SRO investigation clashes with legal action https://www.investmentexecutive.com/news/from-the-regulators/sro-investigation-clashes-with-legal-action/ Wed, 16 Oct 2024 13:32:33 +0000 https://www.investmentexecutive.com/?p=494849 Court rejects appeal of finding that firm could be prejudiced by settlement

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]]> Hands off AI, SIFMA urges regulators https://www.investmentexecutive.com/news/from-the-regulators/hands-off-ai-sifma-urges-regulators/ Tue, 10 Sep 2024 20:49:12 +0000 https://www.investmentexecutive.com/?p=492437 Trade group calls for tech-neutral, principles-based approach to regulation

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]]> Outage validates regulators’ outsourcing worries https://www.investmentexecutive.com/news/from-the-regulators/outage-validates-regulators-outsourcing-worries/ Fri, 19 Jul 2024 21:46:14 +0000 https://www.investmentexecutive.com/?p=489665 FSB, Basel Committee have long warned of tech risk in financial sector

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]]> FSB targets cross-border payments regulation https://www.investmentexecutive.com/news/from-the-regulators/fsb-targets-cross-border-payments-regulation/ Tue, 16 Jul 2024 20:17:34 +0000 https://www.investmentexecutive.com/?p=489454 Proposals seek to combat regulatory arbitrage, level playing field

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]]> FCA reviews role of Big Tech in payments https://www.investmentexecutive.com/news/from-the-regulators/fca-reviews-role-of-big-tech-in-payments/ Mon, 15 Jul 2024 19:50:35 +0000 https://www.investmentexecutive.com/?p=489368 Consultation to review consumer protection, competition, systemic risk concerns

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]]> Global banking regulators grapple with tech dependence https://www.investmentexecutive.com/news/from-the-regulators/global-banking-regulators-grapple-with-tech-dependence/ Tue, 09 Jul 2024 18:06:07 +0000 https://www.investmentexecutive.com/?p=489017 Proposed principles aim to address growth of outsourcing, fintech

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]]> Court shuts down privacy challenge in BCSC case https://www.investmentexecutive.com/news/from-the-regulators/court-shuts-down-privacy-challenge-in-bcsc-case/ Fri, 05 Jul 2024 19:52:38 +0000 https://www.investmentexecutive.com/?p=488903 Former rep's objection to regulator's investigative powers stayed

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]]> Firms’ AI adoption poses compliance challenges: FINRA https://www.investmentexecutive.com/news/from-the-regulators/firms-ai-adoption-poses-compliance-challenges-finra/ Thu, 27 Jun 2024 18:28:31 +0000 https://www.investmentexecutive.com/?p=488519 U.S. SRO highlights regulatory implications

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