TITLE

Positive Compliance

AUTHOR(S)
Bearden, Frank C.
PUB. DATE
February 2003
SOURCE
Advisor Today;Feb2003, Vol. 98 Issue 2, p74
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
9020028

 

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