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Lecture Personal financial planning – Web chapter C: Regulation

Chia sẻ: Nguyet Nguyet | Ngày: | Loại File: PPT | Số trang:32

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The goals of this chapter are: Discuss the role regulation plays in the financial services industry, describe the key regulatory items that must be satisfied in dealing with clients, explain the responsibilities of a fiduciary, illustrate who regulates what in the financial services industry,...

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