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Managing misconduct in the financial advisory sector

To be effective, supervisors must enact policies and procedures to encourage compliance and investigate and punish employee misconduct when it arises

A supervisor's responsibilities include instructing those subordinates to whom supervision is delegated about methods to promote compliance, including preventing and detecting violations of laws, rules, regulations, firm policies and the Code and Standards.

FRESH out of school and into employment, most of us would have some recollection of our first job. There was the daily climb up the stairs upon alighting from the MRT. At every meeting, we ensured every page of the meeting document was duly photocopied. We checked more than twice to ensure that...

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