Investment compliance breach - Am I screwed?
So i joined a bank last month and I accidentally had an investment preclearance breach that is being reported. How serious is this and does anyone have prior experience?
You'll be fine. Accidentally did something similar on my internship. It also got reported, nothing happened. Just don't do it again.
Got a slap on the wrist for first offense.
Might have to retake the class/certification if the bank has one
Usually operates like a Strike system, just don't do it again.
Looks like we got a Bill Tsai 2.0 on our hands, boys. Let's get him!
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