Compliance

OSC regulatory actions continue downward trend

In the coming year, the regulator will assess how firms are implementing the CFRs

By Melissa Shin |October 14, 2022

2 min read

SEC modernizes recordkeeping rules

Changes aim to adapt regulator's requirements to tech innovation

By James Langton |October 12, 2022

2 min read

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

By Daniel Calabretta |September 13, 2022

2 min read

FINRA flags digital forgery issues

Firms are increasingly reporting digital signature falsification

By James Langton |August 3, 2022

1 min read