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:: Regulation NN Policy
Regulation NN Policy
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$175.00
Table of Contents
Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
Structure of Accountability - Topic 4
Prohibited Transactions - Topic 5
Regulatory Approval and Filing Procedures - Topic 6
Application and Close-Out - Topic 7
Disclosure - Topic 8
Capital and Margin Requirements - Topic 9
Reporting to Customers - Topic 10
Unlawful Representations - Topic 11
Authorization to Trade - Topic 12
Trading and Operational Standards - Topic 13
Notice of Transfers - Topic 14
Customer Dispute Resolution - Topic 15
Reservation of Authority – Topic 16
Audit Policy - Topic 17
Staff Training - Topic 18
Retention of Documentation - Topic 19
This policy template (approximately 28 pages) is in Microsoft® Word format.
Standard Volume Discounts
Individual and volume pricing plans are available to fit every budget. You can buy one policy at a time, or mix and match multiple policies. Simply put - the more you buy, the greater discount you will receive:
10% Discount
when you buy 5 of our Templates at the regular price!
25% Discount
when you buy 15 of our Templates at the regular price!
50% Discount
when you buy 25+ Templates at the regular price!
PLEASE NOTE: If you order Bank Policies or Job Descriptions, you will receive your order via email within 24-48 hours.
Add to Cart:
Model: POL-RFX
Manufactured by: Bank Policies
Product 172/211
This product was added to our catalog on Monday 22 August, 2011.
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