Written Supervisory Procedures
As a broker-dealer, regulations demand that you have an in-house manual of written procedures covering supervision of your firm's business. The manual is required to include your current procedures and should be available to your supervisors and other employees. This product has been developed by a leading compliance expert and includes a wide range of subjects enabling you to create your own unique manual to meet your firm's needs. It represents a comprehensive compliance manual for the smallest to the largest broker-dealers.