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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
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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 pretty well,” said Sander J. Ressler, co-owner and managing director of Essential Edge Compliance Outsourcing Services.
But keep the good report card in perspective, Ressler added, because a stock market that has reached record highs despite the pandemic could be masking compliance shortfalls. ....

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