Actually, no! The provider cannot delegate this responsibility. The provider alone must identify the relevant financial relationship and take steps to mitigate those conflicts of interest, as well.
Is it ok for a provider to leave it up to each individual to determine if their financial relationship is relevant?
Weekly Compliance Tip
Do we need to take stocks into account when reviewing someone’s financial relationships?
Yes. Stock information will help you determine if an individual… More >
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AOE Consulting, LLC
8156-E S. Wadsworth Blvd.
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Littleton, CO 80128
