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14 February, 11:51

Oscar is a new compliance officer for Mayer & Meyer Financial, Inc., a registered investment adviser. Which of the following activities listed below represents the highest priority when determining if there are conflicts of interest between the firm and its clients?

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  1. 14 February, 15:32
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    The following activity represents the highest priority when determining if there are conflicts of interest between the firm and its clients:

    The representatives of Mayer & Meyer Financial, Inc. have the permission to hold the same securities that the company advises its clients to own.

    Explanation:

    Compliance Officer: Such an officer who is responsible to keep the company working in compliance with the legal and other policies. It can create a conflict of interest because when the company representatives are allowed to have the same securities that they are referring to their clients. It can effect their credibility so in order to prevent this, the compliance officer can tell the customers about this policy so that they can take their decision by keep that policy in their mind.
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Home » Business » Oscar is a new compliance officer for Mayer & Meyer Financial, Inc., a registered investment adviser. Which of the following activities listed below represents the highest priority when determining if there are conflicts of interest between the firm
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