The Creation and Enhancement of your Written Supervisory Procedures
According to FINRA Rule 3010, every broker/dealer is required to create and maintain written supervisory procedures. Written Supervisory Procedures (WSP’s) are the key to superivisng the activities of Registered Representatives and Associated Persons, and is the primary method of communicating compliance with the rules and regulations.
The written supervisory procedure manual is the core of any firms compliance program and is considered the most important document s from a regulators point of view. This is the most requested and analyzed document by FINRA, SEC and other SRO’s. Every firm must create and implement written supervisory procedures (WSP’s) tailored specifically to their business model.
Greico has the experience and expertise to create and implement creating , customizing, and implementing your firms written policies, procedures. Call Greico to help with your written supervisory procedures.
●Let Greico develop a new Written Supervisory Procedures Manual.
●Let Greico help your firm meet the regulatory requirements for the firms written supervisory procedures.
●Let Greico help your firm review, update and enhance your existing Written Supervisory Procedures.