ONE-WAYDated event · through FY2020
Deficiencies in approval procedures for selling mutual funds to elderly customers
A time-sensitive theme covering a case in which manager approval was not obtained before soliciting elderly customers to purchase mutual funds, as well as recurrence-prevention measures including post-event investigations, customer follow-up, training and the audit framework.
Companies1How many companies write about this.
Threads1One company can carry more than one thread here.
PeriodFY2020 →Last written FY2020
Directionhurts0 helps · 1 hurts · 0 flat