Business practices of FDIC-insured institutions selling nondeposit investment products

Business practices of FDIC-insured institutions selling nondeposit investment products

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Employees of the Broker-Dealer Compliance Department continuously audit the operation. d. ... Other banks aquot;mystery shopaquot; all or at least a representative sample of sales personnel. Our mystery shopping questionnaire is designed to ensure that sales personnel are making the required disclosures; bank personnel areanbsp;...


Title:Business practices of FDIC-insured institutions selling nondeposit investment products
Author: United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises
Publisher:Government Printing Office - 1996
ISBN-13:

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