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
Firm settled allegations involving unapproved electronic access
Tech frees advisors to focus on building successful practices
Regulator details its compliance review priorities for the year ahead
Regulator expands oversight reviews after pilot efforts find widespread shortcomings