Conduct of business regulation focuses on how firms conduct business with their customers and is designed not to ensure the safety and soundness of the institutions but to establish rules and guidelines about appropriate behaviour and business practices in dealing with customers. Describe five (5) rules and/or guidelines prescribed under the Securities Act and Regulations.
Conduct of business regulation focuses on how firms conduct business with their customers and is designed not to ensure the safety and soundness of the institutions but to establish rules and guidelines about appropriate behaviour and business practices in dealing with customers. Describe five (5) rules and/or guidelines prescribed under the Securities Act and Regulations.
Essentials Of Investments
11th Edition
ISBN:9781260013924
Author:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Publisher:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Chapter1: Investments: Background And Issues
Section: Chapter Questions
Problem 1PS
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Transcribed Image Text:Conduct of business regulation focuses on how firms conduct business with their customers and is designed not to
ensure the safety and soundness of the institutions but to establish rules and guidelines about appropriate behaviour
and business practices in dealing with customers. Describe five (5) rules and/or guidelines prescribed under the
Securities Act and Regulations.
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