Unsupervised Accounts and Unsupervised Common Sense: Another Broker Dealer Gets Fined
Let’s play the game of “What The hell is happening Here”. FINRA, Rule 3110, monitoring, noncompliance, and outside brokerage accounts. Five indicators that a company has forgotten how to manage grownups. The company pledged to implement fundamental controls. Why. Over 50% of its associates maintained one or more external accounts that the company was unaware […]
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