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The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s conduct standards
Total Page Count: 18
2/April 19
The Broker-Dealer Written Supervisory Procedures Section on Standards of Conduct serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110
Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs) Broker The WSP Section helps firmsThe Broker Dealer Written Supervisory Procedures Section on DPPs 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 helps firms outline and implement effective supervisory processes regarding a firms DPP business. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate
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