P2021-ND-245

World Financial Group Insurance Agency of Canada

On January 28, 2021, an agent’s assistant sent emails containing a partially completed trade ticket to a client for his review and signature. The client notified the agent that no email was received. On January 29, 2021, the agent?s assistant resent the emails. Again, the client confirmed that no email was received. The agent check his assistant’s outbox and noticed that the email address for the client was incorrect.

File Type: pdf
Categories: 2021
Tags: Unauthorized disclosure