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Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation
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Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation
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Broker-Dealer Compliance Manual Exhibit 3.02- WSP AttestationThe Written Supervisory Procedures Attestation Exhibit serves as an important part of a broker dealers overall compliance program in accordance with FINRA Rule 3110 (Supervision). The Attestation allows broker dealer firms to capture registered and or associated persons confirmation and acknowledgement of understanding and compliance with the firms written compliance and supervisory procedures (Compliance Manual) as a necessary as part of a firms
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The Written Supervisory Procedures Attestation Exhibit serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110 (Supervision). The Attestation allows broker-dealer firms to capture registered and/or associated persons’ confirmation and acknowledgement of understanding and compliance with the firm’s written compliance and supervisory procedures (Compliance Manual) as a necessary as part of a firm’s books and records requirements. Members also viewed our WSP Library.
Version/Update: V.3-09302022
Total Page Count/Format: 1/.docx
Source/Author(s): Connexien
Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation
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68622697680
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