
- UID
- 206438
- 帖子
- 7
- 主题
- 0
- 注册时间
- 2011-3-7
- 最后登录
- 2015-4-18
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Record Retention states that members and candidates must develop and maintain appropriate records to support their investment analysis, recommendations, actions and other investment related communications with clients and prospective clients. Usually, member and candidates can not use historical recommendations or research reports created at previous firm because the supporting documentation is unavailable. In this regard, Pavlov's performance figures and research reports are not supported by adequate data and their analysis. Therefore, it is a violation of record of retention. |
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