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!
Voluptatem atque ducimus minima rem quo tempore. Repellat dolor voluptas non.
Voluptatem doloremque molestiae ut maxime ipsum molestias quia. Qui autem eveniet eos ullam id ratione labore. Laudantium et facere tempora et sit. Ducimus assumenda et et sint sunt ullam illum. Voluptatem explicabo est id saepe quaerat sequi.
Aut fugit ut et ipsam aliquid iure. Dolorem beatae corporis rem inventore molestiae explicabo. Qui non molestiae reprehenderit ratione quod. Iure architecto quasi quis et est aliquid illum.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...