Pay in 4 interest-free payments of $31.25 Learn more
Ships within 48 hours · Estimated delivery Aug 11 - Aug 16
The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes five (5) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model
as well as provide information on market holidays and events that may affect investment adviser business operations
Members also downloaded 2021 Investment Adviser Year-end Compliance Checklist
2/February 1
The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources The customizable WSP Section allowsThe Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate
US$ 3049.50
US$ 1829.50
US$ 3049.50
US$ 3049.50
US$ 649.50
US$ 499.50
US$ 3049.50
