Broker-dealer Written Supervisory Procedures (WSP) Manual- Your Supervisory Procedures Manual is customized to fit your broker/dealer—reflecting your products, customers, personnel and the manner in which you conduct your business. It outlines FINRA’s supervisory requirement and how your firm complies with them. Soon your WSP will be available online through secured login-for archiving and immediate access so that it can be easily updated and even more customized than ever as your firm changes. Among the many areas included in your manual are—
- Anti-Money Laundering
- Business Continuity
- Privacy Procedures
- Much, much more
Keeping your Supervisory Procedures Manual updated-To keep your Supervisory Procedures Manual current with the ever-changing dictates of the FINRA and SEC, we offer a Supervisory Procedures Manual update service. Updates that can be integrated into your manual are issued two times a year.
Contact Compliance Advisers today for a quote to build your customized Written Supervisory Procedures Manual!