Compliance exam report documents SRO's emerging and ongoing concerns
Deal with New York regulator addresses crypto platform's compliance failings
SRO seeks information on firms' recent crypto-related communications
Regulation can help firms and advisors deliver better client outcomes
Initiative aims to streamline compliance, facilitate automation
Changes aim to adapt regulator's requirements to tech innovation
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