Can you trade off compliance?

  • Misleading performance results
  • Misleading one-on-one presentations
  • Claiming compliance with voluntary performance standards
  • Cherry-picked profitable stock selections
  • Misleading selection of recommendations
  • Compliance policies and procedures
  • establishing effective compliance policies and procedures
  • forming a robust training system to distinguish between ethical and unethical practices
  • having a marketing and distribution compliance manual
  • creating a dedicated team of experienced personnel to conduct reviews



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Acuity Knowledge Partners

Acuity Knowledge Partners

We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points.