Sentences with phrase «supervisory procedures designed»
Firms that employ advisors must have written supervisory procedures designed to ensure that marketing of IRA accounts meet these requirements.
https://www.thinkadvisor.com/ Not exact matches
Sarbanes - Oxley Act issues, design and implementation of Sarbanes - Oxley Act compliance and supervisory policies and procedures.
Confer with supervisory personnel, owners, contractors, or design professionals to discuss and resolve matters, such as work procedures, complaints, or construction problems.