08.08.22

FINRA Warns BDs on E-Signature Errors

by: Melanie Waddell

The Financial Industry Regulatory Authority is warning broker-dealers that allow electronic signatures to have adequate controls in place to detect signature forgery or falsification. In a recent regulatory notice, FINRA said that it has received “an increasing number of reports” regarding registered reps forging or falsifying investor client signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms.

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