I have a complex question...if anyone know anything about it. I currently work for a brokerage firm who needs employees to disclose their own accounts with other brokerage firms. However, this collegue of mine claims he has kept a account in secret under his name for several years without disclosure.
I was curious how the Compliance department find out about accounts that are not disclosed? thanks
I was curious how the Compliance department find out about accounts that are not disclosed? thanks