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The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations
2/September 27
In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
their financial status
BD- Broker-Dealer Monthly Compliance Review Checklist Investment Adviser The Compliance Certification for Non-RegisteredThe updated Broker Dealer Monthly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen separate areas of risk and compliance to address
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