Broker-Dealer Compliance Manual Section 8- Customer Accts. & Trans.

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The Broker-Dealer Written Supervisory Procedures Section on Customer Accounts & Transactions 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 customer account processing and transaction monitoring.  The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes eight (8) 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: V7-06302023

Total Page Count/Format: 44/.docx

Source/Author(s): Connexien