US EditionWhy financial advice documentation is the front line of compliance
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Why financial advice documentation is the front line of compliance
The aftermath of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services industry, the delivery of financial advice remains under intense scrutiny. While much attention has focused on the quality of financial advice itself, analysis by Oceanic Consulting Group has casted light on a deeper issue: the persistently poor documentation.
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