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Supervision of Branch Offices, OSJ’s and Offsite Brokers and Independent Contractors, National Regulatory Services Branch Office Compliance Practice Conference

Supervisory responsibilities in connection with branch offices, offices of supervisory jurisdiction (“OSJs”), and offsite brokers, including independent contractors, can be particularly challenging. Without on-site supervisors and compliance personnel, there are more opportunities for supervisory failures and sales practice abuse. The most serious of these problems is selling away of securities products or Ponzi schemes, many […]

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