Business practices of FDIC-insured institutions selling nondeposit investment products
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 |
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