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... respect to such products are adequately trained with regard to the specific products being sold or recommended. Training should not be limited to sales methods, but should impart a thorough knowledge of the products involved, of applicable legal restrictions,...

Bank Sales of Mutual Funds: Hearing Before the Subcommittee on Financial ... - 172. lappuse
autors: United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance - 1994 - 525 lapas
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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., 4. sējums

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 1016 lapas

...of the products involved, of applicable legal restrictions, and of customer protection requirements. If depository institution personnel sell or recommend...personnel qualified to sell securities as registered representatives.1 Depository institution personnel with supervisory responsibilities should receive...

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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., 4. sējums

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 1000 lapas

...of the products involved, of applicable legal restrictions, and of customer protection requirements. If depository institution personnel sell or recommend...equivalent of that required for personnel qualified to sell secundes as registered representatives.' Depository institution personnel with supervisory responsibilities...

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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., 4. sējums

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 990 lapas

...requirements. If depository institution personnel sell or recommend securities, the training hould be the substantive equivalent of that required for...personnel qualified to sell securities as registered representatives.5 Depository institution personnel with supervisory responsibilities should receive...

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Business Practices of FDIC-insured Institutions Selling ..., 4. sējums

United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises - 1996 - 404 lapas

...the importance of training, and have stated that: •personnel who are authorized to sell nondeposit investment products or to provide investment advice...regulators require that bank supervisory personnel receive appropriate training. The regulators have said that such training should also apply to compliance and...

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Business Practices of FDIC-insured Institutions Selling ..., 4. sējums

United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises - 1996 - 392 lapas

...of the products involved, of applicable legal restrictions, and of customer protection requirements. If depository institution personnel sell or recommend...personnel qualified to sell securities as registered representatives.9 Depository institution personnel with supervisory responsibilities should receive...

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Business Practices of FDIC-insured Institutions Selling ..., 4. sējums

United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises - 1996 - 508 lapas

...legal rearictiom. and of customer protection requirements. If depository institution personnel seU or recommend securities, the training should be the...personnel qualified to sell securities as registered representatives.9 Depository institution personnel with supervisory responsibilities should receive...

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