Investment Executive

Penalties for pre-signed forms hit advisors’ pocketbooks hard

That comment came from a long-time advisor awaiting a regulatory hearing for pre-signed forms — a perennial top allegation in the enforcement reports of the Mutual Fund Dealers Association of Canada ...
Kaleido Scope

Set up Adobe Sign form without need for signer authentication

Adobe Sign is UAB’s free campus resource for electronic signature. It can help you save time — and paper — and streamline processes and workflows. Here are some helpful tips and best practices to get ...
The Globe and Mail

Is the MFDA taking enforcement of pre-signed forms too far?

Pre-signed forms have long been among the leading enforcement proceedings by the Mutual Fund Dealers Association of Canada (MFDA) against dealers and their financial advisors. Yet, these violations ...
Forbes

Forms W-8BEN And W-9: Which To Use, When, And Why Many Get It Wrong

Forbes contributors publish independent expert analyses and insights. Admitted NY Bar and US Tax Court, covers US international tax law. Using the correct IRS form (W-9 for U.S. persons and W-8BEN for ...
Investment Executive

Pre-signed forms still a prevalent issue: CIFPs president

The practice of employing pre-signed forms to make client portfolio changes quicker and more convenient is a compliance infraction that is taking far too long to disappear, says the president of the ...