• recognize the importance of knowing the products and business you are supervising
• probe deeper during the hiring process to uncover candidate information that’s not readily available or offered during an interview
• implement control procedures and establish accountability when delegating supervisory tasks
• describe your supervisory obligations to conduct routine reviews of associated persons’ sales activities and communications
• promptly identify, follow up on, and escalate “red flags” when supervising your associated persons
• explain the consequences of failing to adequately supervise

Registered principals