Answer:
A) an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications
Explanation:
In this case, the employee who performs tasks related to graphic design, but doesn't carry out any function similar to an associate partner or director of an investment adviser, is not considered a "person associated with an investment adviser". Even if that person actually worked for the investment adviser, his/her functions are considered clerical, the same as a secretary or receptionist.
Answer:
a giant corporation composed of many smaller corporations.
Explanation:
This option is not 100% right, but the other options were completely wrong. A conglomerate is a corporation that operates in totally different and unrelated industries. For example, a conglomerate can operate in the energy sector, financial services, education services, cruise lines, and agriculture. No two industries are even related to one another, and that is what operates a conglomerate from a normal corporation. E.g. Samsung is a conglomerate because it operates an electronics business, manufactures cars, builds ships, operates funeral homes, etc.
Answer:
Dodd-Frank Act of 2010
Explanation:
The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted as stated by its name to change how Wall Street worked (well not only Wall Street, but the financial system) and to specially protect the small investor. It was promoted by Senator Chris Dodd and Representative Barney Frank as a result of the great recession suffered between 2008 and 2010, which was primarily caused by an inefficient and sometimes even corrupt financial system. It is a very long and complex law, but it mainly places strict regulations on lenders, banks and other financial institutions.
Answer: making sure customers are satisfied
Explanation: In simple words, service orientation refers to the mindset in the organisation under which all employees within work for a sole objective, that is, customer satisfaction.
Such behavior is implemented by the top management and requires continuous efforts. The domain of applicability of such behavior is after the sale is made.
This behavior is developed by the organisation to make sure that their market share remains constant and existing customers do not shift their demands.
