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Description
Broker-Dealer Compliance Manual Sections 1-11 General OperationsThe Broker Dealer Written Supervisory Procedures Sections 1 11 serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 by covering the general operations required of all firms regardless of their approved business activities or product lines. These Sections will help firms outline and implement effective supervisory processes in areas such as Personnel, Standards of
The Broker-Dealer Written Supervisory Procedures Sections 1-11 serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 by covering the general operations required of all firms regardless of their approved business activities or product lines. These Sections will help firms outline and implement effective supervisory processes in areas such as Personnel, Standards of Conduct, General Supervision, Continuing Education, Books & Records, Communications, Accounts & Transactions, Reg. S-P, AML, and Third-Party Vendor Management, that can be further customized to align with their specific business model. Firms are encouraged to also add specific investment product lines based on their FINRA Membership Agreement available on our WSP Library.
Version/Update: V12-06302024
Total Page Count/Format: 361/.docx
Source/Author(s): Connexien
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