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)
Get alerted any time new stories match your search criteria. Create an alert to follow a developing story, keep current on a competitor, or monitor industry news.
Thank You!
Don’t forget you can visit MyAlerts to manage your alerts at any time.
March 22, 2013 at 07:00 AM Share & Print
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)
NOT FOR REPRINT
© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.