Smith and Roberson’s Business Law
17th Edition
ISBN: 9781337094757
Author: Richard A. Mann, Barry S. Roberts
Publisher: Cengage Learning
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Chapter 5, Problem 7CP
Summary Introduction
To discuss: Whether the commission exceed its power under the Act.
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and
in some instances, located in remote areas. Due to their remote locations and small staffs, some offices do not have a
compliance officer, and brokers working in these offices have sometimes had to take on the responsibility of hiring the
branch manager. Some brokers work out of their homes and use their own personal e-mail to contact clients. Some
branches only keep records in electronic form for six years. Which of the following is not a breach of the Code regarding
Eagle Asset Managers?
1. Having the brokers in a remote office hire the branch manager.
2. Keeping records in electronic form for six years.
3. Communicating with clients via personal e-mail.
4. Not having a compliance officer.
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Chapter 5 Solutions
Smith and Roberson’s Business Law
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