BANKING & FINANCE - April 12, 1994
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Regulator Seeks Undercover Mutual Fund Checks: Comptroller of the Currency Eugene Ludwig proposed having the federal government use “testers” to check whether banks, brokerages and mutual fund firms are adequately warning customers of the risks of mutual funds. He called on the heads of the other three bank and thrift agencies and the head of the Securities and Exchange Commission to form a task force to develop uniform procedures for looking into sales practices by all institutions that peddle funds.
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