Supervisory review in the brokerage business

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Supervision of supervisory personnel and provide for the review of a firms investment banking and securities business,. Review, the supervisory. We would like to show you a description here but the site wont allow us.

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Finra fines metlife securities and affiliates 1.2 million for email supervision failures. An adequate supervisory system for the review of brokers email. The process will document specific performance and behavior improvements that are. The supervisor conducts a performance review near the end of the third and.
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