Question
Rules issued by the SEC require investment advisors to do the following EXCEPT: Adopt policies for disaster recovery Accept only U.S. citizens as clients Designate
Rules issued by the SEC require investment advisors to do the following EXCEPT:
Adopt policies for disaster recovery
Accept only U.S. citizens as clients
Designate a chief compliance officer
Adopt a code of ethics
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The Oxford Handbook Of Entrepreneurial Finance
Authors: Douglas Cumming
1st Edition
0195391241, 978-0195391244
