Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources as well as provide information

as well as provide information on market holidays and events that may affect investment adviser business operations

Advisors can use this Due Diligence Form to gather necessary information about the client’s investment goals and

The Training Packet includes twenty-seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each year’s FINRA Regulatory and Examination Priorities Letter

The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes five (5) 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 List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section

Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources as well as provide informationThe Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management 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 on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate