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Keywords: Office buildings
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2005) 6 (3): 32–44.
Published: 01 July 2005
... personnel engage in activities on behalf of the broker‐dealer and must document that evaluation. Originality/value Important reference for broker‐dealers’ branch office supervisory programs that underscores the need to pay proper attention to remote locations. Control systems Office buildings...
