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#2075011 - 04/21/16 03:11 PM Dual Employee Policy
RVFlyboy Offline
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RVFlyboy
Joined: Oct 2000
Posts: 5,980
Soaring over Georgia
Does anyone have a Dual Employee policy you'd be willing to share?
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Human Resources
#2075038 - 04/21/16 04:26 PM Re: Dual Employee Policy RVFlyboy
osucpa Offline
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Joined: May 2011
Posts: 1,402
A dual employee in what capacity or job function?

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#2075269 - 04/22/16 06:05 PM Re: Dual Employee Policy RVFlyboy
Cornfed Turtle Offline
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Joined: Mar 2006
Posts: 1,323
"...Somewhere in Middle Americ...
Beech, I can't find the post, but I remember ahkcompliance posting something about dual employees. May be a good user to ask.

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#2075302 - 04/22/16 08:25 PM Re: Dual Employee Policy RVFlyboy
ahkcompliance Offline
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Joined: Sep 2008
Posts: 2,470
Midwest
Our investment reps are considered dual employees per our agreement with the broker-dealer. It don't have a set policy, only whats in our contract with the broker-dealer.

The broker-dealer only have control over the rep based activities for the broker-dealer, licensing, etc. They receive no compensation or benefits from broker-dealer. That is all paid by the bank.

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#2079404 - 05/19/16 06:15 PM Re: Dual Employee Policy ahkcompliance
Cornfed Turtle Offline
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Joined: Mar 2006
Posts: 1,323
"...Somewhere in Middle Americ...
Did we ever find one of these? This landed on my desk yesterday as one of the employees of our investment area is needing to work for the bank for awhile.

If anyone can give me an outline of things to read for such a policy, I would appreciate not looking stupid as I head down the hall to the lawyers.

There's our privacy policy, of course. She is not a registered "selling" or "trading" person with the investment firm and is not addressed in our contracts on that side.

Thanks in advance for any help. I promise to run faster next time.

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