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Keywords: Supervisory and compliance procedures
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 66–89.
Published: 08 June 2012
... the firm has implemented heightened supervisory and compliance procedures; firms also should monitor the sale of these products in a manner that is reasonably designed to ensure that each product is recommended only to a customer who understands the essential features of the product and for whom...
