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#2048952 - 11/10/15 03:28 PM Sale of Retail Nondeposit Investment Products
pchandler Offline
Junior Member
Joined: Mar 2004
Posts: 37
ky
I know that tellers and CSRs may offer referrals to our Wealth Management department but what constitutes a referral? Is handing out brochures or business cards (kept in a drawer) permissible? My interpretation of what I have read in the regulatory exam manual is that a brochure is advertising. No reference is given to branch managers. Opinions?

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#2048957 - 11/10/15 03:35 PM Re: Sale of Retail Nondeposit Investment Products pchandler
rlcarey Offline
10K Club
rlcarey
Joined: Jul 2001
Posts: 79,926
Galveston, TX
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The opinions expressed here should not be construed to be those of my employer: PPDocs.com

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#2049378 - 11/12/15 07:23 PM Re: Sale of Retail Nondeposit Investment Products pchandler
pchandler Offline
Junior Member
Joined: Mar 2004
Posts: 37
ky
Yes, thanks.

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