Articles Posted in DocuSign

FINRA RELEASES GUIDANCE ON SUPERVISION RELATING TO DIGITAL SIGNATURES
Herskovits, PLLC

FINRA recently released Regulatory Notice 22-18, reminding firms about their obligation to supervise registered representatives to prevent falsification of digital signatures. FINRA’s guidance comes on the heels of multiple investigations concerning instances when registered representatives forged or falsified client signatures on account transfer documentation or on disclosure forms, “acknowledging a products alignment with the customer’s…

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