Brokerage Risk Management Planning (BIC Death/Inability, Associate Separation)
A couple of recent brokerage issues highlighted at a local brokerage roundtable: Prudent brokerage risk management can include creating a written executable plan for the future involving a BIC death or problematic incapacity (e.g., health, incommunicado, incarceration, missing in action, other) and the voluntary or involuntary separation of a BIC's associate (e.g., compensation changes, pendings,… Continue Reading Brokerage Risk Management Planning (BIC Death/Inability, Associate Separation)