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Finance: What is Hiding Written Complaints? 2 Views
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Description:
The act of hiding written complaints is...no bueno. An investment rep is legally obligated to pass on any such complaints to their employer.
- Social Studies / Finance
- Finance / Financial Responsibility
- College and Career / Personal Finance
- Life Skills / Personal Finance
- Finance / Finance Definitions
- Life Skills / Finance Definitions
- Finance / Personal Finance
- Courses / Finance Concepts
- Subjects / Finance and Economics
- Finance and Economics / Terms and Concepts
- Terms and Concepts / Accounting
- Terms and Concepts / Banking
- Terms and Concepts / Careers
- Terms and Concepts / Company Management
- Terms and Concepts / Education
- Terms and Concepts / Ethics/Morals
- Terms and Concepts / Metrics
- Terms and Concepts / Mutual Funds
- Terms and Concepts / Tax
- Terms and Concepts / Trusts and Estates
Transcript
- 00:00
Finance a la shmoop what is hiding written complaints? all right remember
- 00:07
when you were a kid and your teacher sent home a note to your parents and not [Teacher gives boy a note]
- 00:12
a good one you knew you were in big-time trouble so you know why not just hide
- 00:17
the note what your parents don't see can't hurt you right? while hiding
- 00:21
written complaints on Wall Street is kind of like that if an investment rep
Full Transcript
- 00:25
receives a written complaint from a client they are legally obligated to
- 00:30
pass it along to their employer and their boss who has to add it to the reps
- 00:36
[Submarine appears] U4 which is not a military submarine but a form that the rep has to
- 00:40
use when registering with the stay you know for their license hiding written
- 00:45
complaints is illegal and can get the rep in deep you know what and like in
- 00:50
the real world it gets a lot worse than being grounded and you know having your [Person picks up Xbox console]
- 00:54
xbox taken away for a week yeah good luck with that
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