PoliciesSale of Nondeposit Investments Policy

SKU: 230

Your Price $195.00

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Description

Description

Description

Applies to all retail sales of nondeposit products, including marketing and promotional activities. Covers objectives, scope, responsibility, minimum standards, program management, setting and circumstances of sales, disclosures and advertising, suitability, qualifications and training, compensation, fiduciary accounts, third-party arrangements, compliance and audit, exceptions to policy, and policy review.

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