Supervisory Procedures

 

  • Creation of WSP's
  • Review of WSP's
  • Business Continuity Plans
  • Back Office Operating Procedures
  • Registered Rep Manual
  • Supervisory Systems
   
Remember The Big Picture

Making Compliance Bearable.

 

Creation of WSP’s
  A detailed analysis of your Firm’s business and the role of the procedures required to comply with the NASD Conduct Rules
Review of WSP’s
A review of existing WSP’s for the compliance with current NASD Conduct Rules, SEC regulations, state statuettes and Anti-Money Laundering Requirements
Business Continuity Plans
Designed of business continuity to comply with the NASD conduct rules as well as plans to ensure the continued operation of Firm.
Back Office Operating Procedures
A detailed analysis of your firm’s business and the relevant operating procedures required to keep your firm running smoothly and complied with the NASD Conduct Rules.
OSJ Operating Procedures
Specially designed procedures to assist OSJ locations with implementation of supervisory procedures and routine books and records.
Registered Rep Manual
Specially designed manual to assist reps with transition and on-going operational in compliance procedures.
Supervisory Systems

Assist client firms with design and implementation of supervisory systems designed to reasonably supervised its personnel and business based on the types of business, geographic diversity and existing regulations.