Remote compliance mostly meets challenges of working from home
Remote compliance mostly meets the challenge of working from home But a stock market reaching record highs may be masking shortfalls, and a recent survey says firms aren't supervising conferencing platforms. March 15, 2021 2 MINS Investment advisory firms generally have done a good job of maintaining compliance with securities laws while working remotely since the beginning of the Covid-19 pandemic, but problems may be hidden by strong markets, and firms are facing challenges in keeping records of electronic communications, experts said. “It’s actually working prett...