Written Supervisory Procedures for Broker Dealers

FINRA 3010 requires all members to develop a supervisory system to oversee individuals and business dealings in order to ensure compliance with all applicable securities laws and regulations.

 

ACI offers a comprehensive compliance program to adhere to the requirement for supervisory procedures, including but not limited to:

  • Assistance with developing the written supervisory procedures manual.
  • Establishing measures to detect violations of the supervisory manual.
  • Completing principal designation paperwork such as Schedule A of form BD to appoint principals to serve as chief compliance officer.
  • Implementing and managing an annual meeting between the CEO and chief compliance offer(s) and reporting on the meeting agenda and findings to adhere to the annual certification of supervisory procedures requirement.





To inquire into ACI's Written Supervisory Procedure services, contact us at info@acisecure.com.
 

 

Accounting Ad