Be Prepared for Surviving an SEC or State Audit

Vessenes, Katherine
June 1997
Journal of Financial Planning;Jun97, Vol. 10 Issue 3, p18
Academic Journal
This article provides advice on maintaining a successful client relationship in the event of an audit by the U.S. Securities Exchange Commission. The main component to a successful client relationship is to determined the clients expectations and then meet and exceed those expectations. In order to meet the expectations of the client, financial advisers must have neat record, project the right attitude, have a good compliance program in place, perform regular reviews and mock audits, and among others.


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