Compliance

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Sep 6, 2007 9:19 pm

Can anyone advise what the personal liability is if an employer (bank) ignores compliance instructions?


For example, if a piece is submitted, compliance comes back with changes, the rep advises the employer what changes have to be made, and the employer refuses to make the changes and just goes ahead and uses the piece (ad, brochure, etc.) could the rep be held personally liable for what the employer did?