Trade Errors: How to Handle Them, Policies & Procedures

Markets ETF Trends

By Christopher Winn via Iris.xyz In developing policies and procedures for a registered investment advisor (“RIA”) a topic that should be addressed is trade errors. To uphold the fiduciary duty owed to clients of your RIA, your policies and procedures should cover how you handle errors that may occur when trading in a client’s account. Click…Click to read more at ETFtrends.com.

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