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1 You are a Compliance Manager for a licensee which has 15 authorized representatives. You have just been notified that a complaint has been made against one of the authorized representatives by a former client. The representative works from an office remote from 'head office' and, on your last audit inspection visit nine months ago, you found that some of the representative's files were not in order. The basis of the former client's complaint is that they believe they were not advised that their adviser would be charging ongoing fees from their portfolio. You now plan to conduct an audit visit, without notice, at the representative's office. What will you be looking for at the representative's office in order that you can prepared an initial response to the complainant? Prepare the bullet-point checklist and explain why each item is required.
There are 6 boxes number 1, 2, ...6. Each box is to be filled up either with a red or a green ball in such a way that at least 1 box contains a green ball and the boxes containing green balls are consecutively numbered. The total number of ways in..
What is the annualized interest rate, compounded daily, that is equivalent to 10 percent interest compounded semiannually? What is the daily compounded rate that is equivalent to 10 percent compounded continuously?
mary wants to help pay for her granddaughter beths education. she has decided to pay for half of the tuition costs at
Cole Corporation entered into the transactions listed below during 2003. Prepare the appropriate journal entries for Cole Corporation.
The deepest known point in the ocean is 11,034 m in the Mariana Trench in the Pacific. Assuming sea water to have a constant density of 1050 kg/m3, determine the pressure at this point in atmospheres.
explain the rights of common stock holders as well as identify what measures firms are implementing today to increase
Make a distinction between ethical and unethical behavior in the bankruptcy setting.
Hardware Suppliers reports net income of $155,000. Included in net income is a gain on the sale of land of $15,000. A comparison of this year's and last year's.
two projects of equal life a and b are analyzed using ranking present worth analysis with marr at i. it is found that
Computation of weighted average cost of capital and calculate the weighted average cost of capital for Dell using book value weights and market value weights assuming Dell has a 35% marginal tax rate
The risk-free rate of return is 6 percent, based on an expected inflation premium of 3 percent. The expected rate of return on the market portfolio is 15 percent.
The first possible investment is the packaging machine, which will cost $14,000. The second investment, the molding machine, would cost $12,000. The expected cash flows for the two projects are given below and the cost of capital to the firm is 15..
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