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Compliance Journal - Login Page
www.v2020.com1 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).
Compliance Journal - Login Page
www.v2020.comCompliance Journal . AIG Advisor Group . Journal . Number: 2015-08-VI. Subject: Updated Trading Ahead and Personal Securities Accounts Policies Executive Summary: Effective October 12, 2015, the Firm will strengthen its