Policy packs · Investment Dealer / Brokerage
Investment dealers & brokerages policy pack
Ready-made privacy, acceptable-use, AI, and client-consent documents written for investment dealers & brokerages, in Canadian and US variants with the correct laws and regulators built in. Lavawall® generates them from the security and IT data you already collect, so the wording matches the client-data duties that ride with a registration.
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Privacy · acceptable use · AI · client consent · Canadian & US variants
Written around what investment dealers & brokerages actually handle
Investment dealers & brokerages handle client investment accounts, KYC records, and trade data. Instead of a generic template, each document in the pack is written around that data and the client-data duties that ride with a registration, in plain language, and generated from the security and IT data you already collect.
The laws and regulators built in
Every pack ships in Canadian and US variants with the right rules referenced for each, so you are not editing a template to guess what applies.
Canadian variant
- CIRO mandatory cybersecurity incident reporting (IDPC Rule 3703)
- CSA requirements
- PIPEDA and provincial privacy law
US variant
- SEC Regulation S-P
- FINRA cybersecurity expectations
- State privacy and breach laws
In every investment dealers & brokerages pack
Privacy policy
How personal information is collected, used, protected, and disclosed, tailored to your data.
Acceptable-use policy
Clear rules for staff on systems, devices, and data, for the way you actually work.
AI-use policy
Guardrails to adopt AI tools without exposing sensitive or confidential data.
Client-consent documents
Consent language that fits your relationship and jurisdiction.
Because the pack is generated from your live security and IT data, it stays accurate as your posture changes, instead of a stale template you have to defend.
Generate your investment dealers & brokerages pack
The GRC Wizard takes your industry and compliance requirements into account, then builds the right documents from the data you already collect.
Frequently asked questions
How are these documents generated?
Lavawall builds them from the security and IT data you already collect, so the wording matches what your organization actually does rather than a generic template, and it stays current as your posture changes.
Do the documents cover Canadian and US law?
Yes. Every pack comes in Canadian and US variants with the right privacy laws and regulators referenced for each jurisdiction.
Does the pack account for CIRO incident-reporting?
Yes. For a CIRO Dealer Member the wizard asks the follow-up that separates you from advisers and fund managers, and the pack references CIRO's cybersecurity and incident-reporting expectations (IDPC Rule 3703).
How is a dealer different from a portfolio manager here?
A CIRO Dealer Member carries mandatory incident reporting; a portfolio manager or fund manager is governed instead by CSA Staff Notice 33-322 through NI 31-103. The pack is tuned to your registration category.