Positive Compliance

Bearden, Frank C.
February 2003
Advisor Today;Feb2003, Vol. 98 Issue 2, p74
Trade Publication
Focuses on compliance as a foundation for developing professionalism. Impediment in the development of a client-consultant interaction due to closure; Shift from the emphasis of closure to the process of financial advising; Realization of practice requirements after an examination of compliance materials.


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