The Securities Industry/Regulatory Council recently published its Firm Element Advisory(FEA). The purpose is to highlightcurrent regulatory and sales practice issues for possible inclusion in compliance and training programs at financial services firms. Let’s take a look at the more important categories.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.