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The Investment Adviser Written Supervisory Procedures Section on Personnel
Version/Update: V4-09302023
2/April 19
and managing the request items and supporting documents needed as part of FINRA’s broker-dealer new membership application (NMA) process
The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a)
SEC Registered Investment Adviser Compliance Manual- Proxy Voting Investment Adviser The Investment Adviser Written SupervisoryThe Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. 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
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