Sentences with phrase «expectations about compliance»
Including contract terms with clear expectations about compliance and consequences for compliance violations 4.
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Differences in firms» preparedness may reflect differences in the level of effort required to achieve compliance, differences in the availability of resources to undertake such efforts, differences in expectations about whether, how and when the Fiduciary Rule and PTEs might be revised, differences in perceptions of and appetite for compliance and / or market risk, or some combination of these factors.