IIROC opens door to greater use of technology in the investment industry

the use of e-signatures in 2002. But IIROC’s staff felt that the rules needed greater clarity. “Investment firms didn’t always understand clearly what our expectations were,” says Andrew Kriegler, IIROC’s president and chief executive.that clarifies the use of automation for order execution-only investments firms in their client onboarding process. That same guidance states that IIROC intends to publish “updated guidance directed at all dealers concerning ...

This summer, IPC introduced a pilot project to test out Docusign Inc.’s secure e-signature services among advisors on its IIROC-licensed platform. As a result, advisors will no longer have to print out forms and send them to the client to sign and mail back. The digital documents will also remove some manual back-end entry, Mr. Alvares says.

As client expectations evolve, the use of e-signatures is only the beginning for advisors in terms of bringing technology into their practices. Anfound that investors want the wealth-management industry to embrace a hybrid model in which the right technology tools are combined with the human touch. It’s all about how advisors can “use technology to get through the things that are viewed as less valuable such as administrating accounts or doing reporting,” she says.

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