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Keyword: Electronic records

32 results found
rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

SEC sanctions advisory firm for private messaging

Off-channel communications hamper regulatory oversight

Disclosure form

CSA adopts electronic access model for company prospectuses

Move aims to reduce the burden of printing and mailing disclosures to investors

CSA to combine disclosure, delivery reforms

Regulators to marry changes to disclosure rules with electronic access

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

BMO, Wall Street firms sanctioned for app violations

Regulators fined firms a total US$549 million for record-keeping failures

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

E-signatures get boost from pandemic

MFDA to continue accepting documents from dealers in electronic format

mature woman with tablet

U.S. industry calls for shift to digital disclosure

SIFMA leads push to make electronic communications standard

E-signatures prevent pre-signed forms, but pose other risks

MFDA issues revised guidance on the use of electronic signatures