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planning and updating your annual compliance program
5/November 15
The Checklist assists broker-dealers in documenting and testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions
The BCP also includes a compliance attestation
Members also downloaded the Broker-Dealer Quarterly Compliance Review Checklist
SEC Registered Investment Adviser Compliance Manual- Personnel, Licensing & Reg. Investment Adviser planning and updating your annualThe Investment Adviser Written Supervisory Procedures Section on Personnel, Licensing and Registration 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 twelve (12) separate sections and exhibit list that help
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