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What is an important component of enabling a financial adviser to address conflicts of interest?
In addition to identifying and verifying the customer’s identity what additional identification requirement does the Financial Action Task Force (on Money Laundering) or FATF say should be met?
What’s the term that refers to when a territory imports from another territory more than it exports?
What does prudential regulation require of financial firms?
The small finance banks help the country in the mission for financial inclusion wherein they can provide credit to small and medium enterprises, farmers and other small entrepreneurs, unorganised sectors that have been thus far unbanked or under banked
In most regulatory environments, which of the following should be disclosed to clients and potential clients? I. Fees and other expenses
II. Disciplinary actions and current licenses
III. Agency relationships and affiliations
IV. Home address and phone number
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