BD- Compliance Certification for Non-Registered Covered Persons

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