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Version/Update: V4-09302023
non-public information
All answers provided by the broker-dealer allow for the reviewer to further focus the testing processes and better analyze points of risk related to the AML independent test
The Investment Adviser Written Supervisory Procedures Section on Personnel
The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a)
SEC Registered Investment Adviser Compliance Manual- Proxy Voting Investment Adviser Version/Update: V4-09302023The Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. 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
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