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" In this regard, if depository institution personnel recommend nondeposit investment products to customers, they should have reasonable grounds for believing that the specific product recommended is suitable for the particular customer on the basis of... "
Bank Sales of Mutual Funds: Hearing Before the Subcommittee on Financial ... - 378. 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 - 990 lapas
...depository institution personnel recommend nondeposit investment products to customers, they should have reasonable grounds for believing that the specific...the basis of information disclosed by the customer." Mr. DINGELL. What are "fair and reasonable sales practices"? Mr. LUDWIG. I Mr. DlNGELL. In the NASD...
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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
...depository institution personnel recommend nondeposit investment products to customen, they should neve reasonable grounds for believing that the specific...customer on the basis of information disclosed by th* customer. Personnel should make reasonable efforts to obtain information directly from the customer...
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Securities Regulatory Equality: Hearing Before the Subcommittee ..., 4. sējums

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1994 - 304 lapas
...adhere to fair and reasonable sales practices. If investment advice is given, sales personnel should have reasonable grounds for believing that the specific...recommended is suitable for the particular customer based on the information disclosed to the customer. In establishing a suitability requirement, the...
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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
...specifies that investment representatives should make recommendations for investment products only if they have reasonable grounds for believing that the specific product recommended is "suitable" for a particular customer on the basis of information disclosed by the customer Investor "suitability"...
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Office of the Comptroller of the Currency's Recent Regulatory ..., 4. sējums

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Financial Institutions and Regulatory Relief - 1997 - 112 lapas
...depository institution personnel recommend nondeposit investment products to customers, they should have reasonable grounds for believing that the specific...the basis of information disclosed by the customer." The Interagency Statement also directs banks to ensure their sales personnel receive comparable training...
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The Securities Regulatory Handbook

PricewaterhouseCoopers (Firm) - 1998 - 148 lapas
...practices. In this regard, if sales personnel recommend investment products to customers, they should have reasonable grounds for believing that the specific...recommended is suitable for the particular customer based on information disclosed by the customer. Sales personnel should make a reasonable effort to...
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