Tech can help protect firms and advisors against two key risks
The organization's president presented a hypothetical ethical scenario involving pre-signed forms at a conference last week
SRO sought to investigate after compliance review discovered pre-signed forms
Regulators to prep industry for forthcoming conduct regime
Tech adoption isn’t optional given client expectations and trends
Firms are increasingly reporting digital signature falsification
SRO levies $60,000 fine and orders $10,000 in costs
Editorial: If the merger results in a more robust, investor-focused SRO, then short-term distractions can be forgiven
Mystery shopping exercise finds consumers felt good despite banks’ poor sales practices
ESMA paper says policy action may be needed to ensure resilience