ENSURING SALES FORCES PROVIDE BEST ADVICE

Abstract

The purpose of this paper is to explain the standards required of saleforces under the Lautro Rules when giving advice; to explore how and why these standards have not always been achieved; and to discuss ways in which Lautro members can establish and maintain procedures to maximise investor protections. The views expressed are those of the author himself and not necessarily those of Lautro.

Citation

NICHOLLS, D. (1993), "ENSURING SALES FORCES PROVIDE BEST ADVICE", Journal of Financial Regulation and Compliance, Vol. 2 No. 1, pp. 42-47. https://doi.org/10.1108/eb024792