and in some instances, located in remote areas. Due to their remote locations and small staffs, some offices do not have a compliance officer, and brokers working in these offices have sometimes had to take on the responsibility of hiring the branch manager. Some brokers work out of their homes and use their own personal e-mail to contact clients. Some branches only keep records in electronic form for six years. Which of the following is not a breach of the Code regarding Eagle Asset Managers? 1. Having the brokers in a remote office hire the branch manager. 2. Keeping records in electronic form for six years. 3. Communicating with clients via personal e-mail. 4. Not having a compliance officer. (Ctrl)

and in some instances, located in remote areas. Due to their remote locations and small staffs, some offices do not have a compliance officer, and brokers working in these offices have sometimes had to take on the responsibility of hiring the branch manager. Some brokers work out of their homes and use their own personal e-mail to contact clients. Some branches only keep records in electronic form for six years. Which of the following is not a breach of the Code regarding Eagle Asset Managers? 1. Having the brokers in a remote office hire the branch manager. 2. Keeping records in electronic form for six years. 3. Communicating with clients via personal e-mail. 4. Not having a compliance officer. (Ctrl)

Understanding Business

12th Edition

ISBN:9781259929434

Author:William Nickels

Publisher:William Nickels

Chapter1: Taking Risks And Making Profits Within The Dynamic Business Environment

Section: Chapter Questions

Problem 1CE

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