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. lappuseautors: United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance - 1994 - 525 lapasPilnskats - Par šo grāmatu
| 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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