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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 62–64.
Published: 27 February 2014
.... Outlines FINRA objectives for firms to review their current conflicts management systems. Discusses three key areas where firms should focus attention, including examples of possible practices firms can undertake: a firm's general conflicts of interest framework across all business lines; new products...
