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Description
Broker Dealer Compliance Manual Section 3- General SupervisionThe updated Broker Dealer Written Supervisory Procedures Section on General Supervision serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section helps firms outline and implement effective supervisory processes regarding a firms general supervision. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes
The updated Broker-Dealer Written Supervisory Procedures Section on General Supervision serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s general supervision. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes twenty-three (23) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model. Members also viewed our WSP Library.
Version/Update: V13-12312024
Total Page Count/Format: 69/.docx
Source/Author(s): Connexien
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