Series 99: 3.2.4 Segregation Of Functions And Supervision

Taken from our Series 99 Top-off Online Guide

3.2.4 Segregation of Functions and Supervision

Segregating duties can reduce the risk of internal fraud and errors. One person should never handle all aspects of a transaction. FINRA recommends that firms segregate the front office from the back office (also called operations). In the front office, representatives work with customers. They make recommendations and take orde

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