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Keyword: Compliance

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cryptoassets regulation

FINRA signals crypto sweep

SRO seeks information on firms' recent crypto-related communications

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Leverage compliance for a rewarding client-advisor experience

Regulation can help firms and advisors deliver better client outcomes

  • By: Susan Silma
  • November 9, 2022 November 9, 2022
  • 15:15
hi-tech technological background

FINRA launches high-tech rulebook

Initiative aims to streamline compliance, facilitate automation

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC modernizes recordkeeping rules

Changes aim to adapt regulator's requirements to tech innovation

Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

Investment in digital solutions is an insurance policy

Tech can help protect firms and advisors against two key risks

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

Pre-signed forms still a prevalent issue: CIFPs president

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

Ex-fund rep sanctioned for failing to cooperate

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

closeup of on table in empty corporate conference room

CSA to host roundtable on derivatives rules

Regulators to prep industry for forthcoming conduct regime

Hi-tech technological background with numbers and calculations

Crossing the digital divide in wealth management

Tech adoption isn’t optional given client expectations and trends

Digital signature document

FINRA flags digital forgery issues

Firms are increasingly reporting digital signature falsification