2022 April No.77 – Compliance


Brokers may form a separate company to perform ancillary services to their brokerage. Who may NOT have access to confidential client records? 

A. Employees of the separate company

B. Regulatory Audit

C. The surety associate with a particular entry

D. The port director

E. Brokerage clients

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The Answer is: A

Citation: 19 CFR 111.24

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