Series 14: 5.1.6.3. Review Of Customer Accounts

Taken from our Series 14 Online Guide

5.1.6.3. Review of Customer Accounts

Written supervisory control procedures require the periodic review of customer accounts to prevent and detect irregularities and abuses. Procedures must be reasonably designed to prevent the inspections from being compromised due to conflicts of interest at the location at whic

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Series 14: 5.1.6.3. Review Of Customer Accounts

Taken from our Series 14 Online Guide

5.1.6.3. Review of Customer Accounts

Since you're reading about Series 14: 5.1.6.3. Review Of Customer Accounts, you might also be interested in:

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