B-D fined for creating deficient Reg BI P&Ps

Hennig’s written policies and procedures failed to adequately address its Disclosure Obligation because, among other things, they did not provide sufficient guidance or procedures for disclosing material fees and costs beyond what was discussed in its Form CRS to retail customers

To view this content, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

Register now to access this content and more for free.