Series 14: 6.1.8.1.3. Supervision Of Interdepartmental Communications

Taken from our Series 14 Online Guide

6.1.8.1.3. Supervision of Interdepartmental 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 co

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