If you notice one or more of these red flags, immediately document them in the client’s file. If they persist, seek advice from your compliance and legal experts in order to determine the appropriate next steps.
(click to enlarge)
March 22, 2013 at 07:00 AM
If you notice one or more of these red flags, immediately document them in the client’s file. If they persist, seek advice from your compliance and legal experts in order to determine the appropriate next steps.
(click to enlarge)
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