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Norman B. Arnoff, of counsel at Wexler & Burkhart, and Stephen B. Wexler, a founding partner at the firm, write that, whatever the size of the broker-dealer or investment advisor firm, supervision is the key to loss prevention and litigation avoidance. It is the key to proper accounting and compliance controls as well as creating a healthy corporate culture. In the last analysis it is also the key to client satisfaction and staying in business in our regulatory business world.
July 01, 2005 at 12:00 AM
1 minute read
Presented by BigVoodoo
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