Compliance: Need to Know - Protecting Your Vulnerable Clients Part IV
Disgruntled, Mrs. Anderson left the office with her acknowledgment form in her hand. Tom just thought, “What do I do now?” Then he remembered last year his friend Paul (who also ran an advisory business) had to deal with this. Quickly he picked up the phone. “P and B Advisory services, how can I help you?” a familiar voice came through the phone speaker. “Paul, it’s Tom. How are you doing?” with a relieved smile Tom replied. “Doing great, Tom, but I’m about done with this hot