Transcription of Compliance Journal - Login Page
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Compliance Journal - Login Page
Compliance Journal Advisor Group Journal Number: 2017-03-II. Subject: Inactive Advisory Account Supervision Executive Summary: Effective April 24, 2017 Advisor Group is transitioning its procedures for the review of inactive advisory accounts to First Line Supervisors (FLS). These procedures are designed to ensure that evidence of suitability is maintained for advisory accounts managed by Investment Advisory Representatives (IARs) of the firm's corporate RIA. I. Background Historically, the firm has maintained policies and procedures related to the suitability of inactive advisory accounts.
1 Compliance Journal Advisor Group Journal Number: 2017-03-II Subject: Inactive Advisory Account Supervision Executive . Summary: Effective April 24, 2017 Advisor Group is transitioning its procedures for
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