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The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
Total Page Count/Format 9/
2/February 1
The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes five (5) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model
Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources The List includes sections forThe Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management 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 on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate
