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The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model
The Attestation is used for registered
Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist
The New Account Client Profile form collects information about an advisory client
2/September 26
Broker-Dealer Compliance Manual Section 2- Standards of Conduct WSP Library The customizable WSP Section allowsThe Broker Dealer Written Supervisory Procedures Section on Standards of Conduct 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 conduct standards. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and
