Supervisory Procedures |
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Remember The Big Picture |
Making Compliance Bearable. |
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| 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 |
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| 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. |
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