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Keyword: Compliance

367 results found
Close up of an executive hands holding a pen and indicating where to sign a contract at office

The organization's president presented a hypothetical ethical scenario involving pre-signed forms at a conference last week

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

SRO sought to investigate after compliance review discovered pre-signed forms

closeup of on table in empty corporate conference room

Regulators to prep industry for forthcoming conduct regime

Hi-tech technological background with numbers and calculations

Tech adoption isn’t optional given client expectations and trends

Digital signature document

Firms are increasingly reporting digital signature falsification

Court.

SRO levies $60,000 fine and orders $10,000 in costs

teamwork

Editorial: If the merger results in a more robust, investor-focused SRO, then short-term distractions can be forgiven

  • By: IE Staff
  • June 13, 2022 September 6, 2022
  • 00:02
A side view of a curly fancy businessman in a formal suit using an outdoor cash dispenser to withdraw money from his account, with a copy space place on the left for your text or logo (A side view of a curly fancy businessman in a formal suit using an

Mystery shopping exercise finds consumers felt good despite banks’ poor sales practices

hi-tech technological background

ESMA paper says policy action may be needed to ensure resilience

Montreal stock exchange tower against a clear blue sky.

Firm settled allegations involving unapproved electronic access