Series 14: 6.1.8.1.3. Supervision Of Inter-Departmental Communications

Taken from our Series 14 Online Guide

6.1.8.1.3. Supervision of Inter-Departmental Communications

Chinese Wall policies and procedures must be reasonably designed to restrict the flow of material, nonpublic information to employees with a “need to know.” These procedures may require separate recordkeeping and support systems for, or even physical separation of, departments such as investment banking that have regular access to c

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