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Does your employer need to receive trading confirms and statements from your personal investment account if you work for an investment adviser in US?
Yes.
Registered Investment Advisers are required to adopt and implement written policies and procedures. The SEC expects that these policies and procedures would be designed to prevent, detect, and correct violations. Registered Investment Advisers must review those policies and procedures at least annually for their adequacy and the effectiveness of their implementation, and designate a chief compliance officer to be responsible for administering your policies and procedures.
Among the policies and procedures that must be monitored is:
- Proprietary trading by the Adviser and the personal trading activities of any supervised persons. Most firms will require duplicate statements and trade confirmations from supervised personnel.
What else can I help you with?
What are some examples of Twitter disclaimer statements used by individuals or organizations to clarify their views or affiliations on the platform?
Some examples of Twitter disclaimer statements include "Views are my own," "Retweets are not endorsements," and "Opinions expressed here do not reflect those of my employer." These statements are used to clarify that the views expressed on the platform are personal and may not represent the views of the individual's organization or employer.
How can someone get his personal statements?
To get personal statements, one needs to contact the bank which one has an account with. Many banks and companies offer paper statements or the ability to check statements on their webpage.
What personal information do i need to keep up to date with my employer?
why does your employer need to have up to date personal information
What is the difference between economic investment and personal investment?
gay
How do you answer personal statements?
As smartically as possible
Can your employer give you a personal loan?
No
Is investment ac is nominal account?
Investment A/C is personal account
Which information can be accessed via stanlib secure online?
Stanlib secure online portal provides access to various information related to your investment accounts, such as account balances, transaction history, investment performance, statements, and the ability to update personal information and investment instructions. It also offers research reports, market updates, and educational resources to help clients make informed investment decisions.
Can an potential employer ask for your personal budget?
No
Where can one find information on personal investment plans?
There are several places to find information on personal investment plans. Any bank will have investors who can help you, or you can go to investment brokers in your area.
What not help an applicant make a personal connection with the employer?
Reveal agitation if an employer is late for the interview.
What is employer pay per mile for use of personal car?
My employer pays me 35cents per mile. Is that ok
