Question: Which statement is NOT true during the Audit? Files should contain notes on all client reviews, discussions, questions, and correspondence, including copies of email communications.

Which statement is NOT true during the Audit? Files should contain notes on all client reviews, discussions, questions, and correspondence, including copies of email communications. Regulators audit what you are doing based on your documentation. An audit assesses if you are maintaining a compliant practice as an agent. Auditors are not particular in giving attention to evidence showing that an agent understands each client's needs

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