Sentences with phrase «company policy and procedure violations»
Not exact matches
Under the BICE, Financial Institutions (which today are insurance companies, banks, broker - dealers, and RIAs) must adopt and warrant that their advisors comply with compliance policies and procedures that are reasonably and prudently designed to prevent conflicts from causing any violations of the Impartial Conduct Standards fiduciary.
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Investigated and apprehended dishonest employees, vendors, shoplifters, and others who are in violation of company policies and procedures.