Midterm Follow Up Flashcards by Sandy Ferner | Brainscape

Q

Supervisory Reasonable steps to ensure conformance / vicarious liability

A

R.5.1 b / c

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Q

Diligence

A

R. 1.3

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Q

Misrepresentation

A

R. 4.1 / 8.4c

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Q

Assist a client w fraud

A

R 1.2(d)

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