Failure to adopt advertising P&Ps costs adviser $50k

Banorte advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant to the likely financial situation and investment objectives of the intended audience

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.