Broker-Dealer Compliance Manual Section 16- Investment Company Securities (Mutual Funds)

The Broker-Dealer Written Supervisory Procedures Section on Mutual Funds serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110.  The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s mutual fund business.  The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes twenty-four (24) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model. Members also viewed our WSP Library.

Version/Update: V5-06302024

Total Page Count/Format: 40/.docx

Source/Author(s): Connexien