Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation

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The Written Supervisory Procedures Attestation Exhibit serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110 (Supervision). The Attestation allows broker-dealer firms to capture registered and/or associated persons’ confirmation and acknowledgement of understanding and compliance with the firm’s written compliance and supervisory procedures (Compliance Manual) as a necessary as part of a firm’s books and records requirements. Members also viewed our WSP Library.

Version/Update: V.3-09302022

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien