Non-Deposit Investment Products Policy

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
Structure of Accountability - Topic 4
Risk Management - Topic 5
Products and Services Offered - Topic 6
Prohibited Practices - Topic 7
Disclosure and Advertising Requirements - Topic 8
Location of Sales Activities - Topic 9
Qualification and License Requirements - Topic 10
Suitability and Sales Practices - Topic 11
Compensation - Topic 12
Third Party Management - Topic 13
Complaint Policy Reference - Topic 14
Regulation R Policy Reference - Topic 15
Regulation W Policy Reference - Topic 16
Regulation Best Interest Policy Reference - Topic 17
Other Legal and Regulatory References - Topic 18
Audit Policy - Topic 19
Staff Training - Topic 20
Retention of Documentation - Topic 21

This policy template (approximately 44 pages) is in Microsoft® Word format.

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