1
/
of
1
BD- Compliance Certification for Non-Registered Covered Persons
BD- Compliance Certification for Non-Registered Covered Persons
Regular price
$45.00 USD
Regular price
Sale price
$45.00 USD
Unit price
/
per
Couldn't load pickup availability
The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies, regulatory requirements and reporting obligations on a periodic basis.
Version/Update: V.3/May 17, 2018
Total Page Count: 1
Source/Author(s): Connexien
Published by: Connexien
View full details![BD- Compliance Certification for Non-Registered Covered Persons](http://store.connexien.com/cdn/shop/products/BD-_Compliance_Certification_for_Non-Registered_Covered_Persons_v.3-05172018.png?v=1526635511&width=1445)