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Dieter Wiley is the new Chief Compliance Officer at Tri-Star Investments and has noted four...

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Accounting

Dieter Wiley is the new Chief Compliance Officer at Tri-Star Investments and has noted four questionable practices at the firm.

Practice 1 The research unit reports to the head of the investment banking department.

Practice 2 Research analysts are compensated based on the success of the initial and secondary offerings managed by the firm's investment banking unit.

Practice 3 Coverage of an investment banking client's stock is immediately discontinued if they leave the firm.

Practice 4 Employees do not have to report their trading to the firm.

REQUIRED:

1. Briefly describe the actions Wiley should take in relation to each of the practices above.

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