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Compliance with Broker-Dealer and Investment Adviser Requirements

Use our comprehensive compliance manuals and updates to comply with the specific regulatory rules requiring broker-dealers and investment advisers to develop written supervisory procedures relevant to their business. Regulatory Compliance offers customizable supervisory procedures and compliance policies to help you oversee your broker-dealer or investment adviser in compliance with applicable rules.

Investment Adviser Compliance Policies and Procedures

Our investment adviser compliance and procedures manual is customized to your firm’s business and is designed to address your firm’s fiduciary and regulatory obligations. This comprehensive manual is updated at least annually to incorporate new regulatory requirements and industry best practices. The IA compliance manual includes policies and procedures on the following topics:

  • duty to supervise
  • code of ethics
  • insider trading
  • gifts and entertainment
  • outside business activities
  • political contributions
  • portfolio management
  • trading practices
  • valuation
  • custody
  • solicitation
  • disclosure documents and filings
  • electronic communications and social media
  • advertising and marketing
  • books and records
  • disaster recovery plan
  • anti-money laundering
  • privacy and data security
  • proxy voting

A suite of customizable forms is also available to accompany the IA compliance manual.

Learn more about our investment adviser compliance policies and procedures manual.

Broker-Dealer Written Supervisory Procedures Manual

Our written supervisory procedures (WSP) manual is fully customizable and is designed to meets a firm’s requirements to create written procedures under Rule 3010. The manual covers relevant FINRA/NASD supervisory requirements and clearly details how to effectively administer and supervise your business. The broker-dealer WSP manual is updated twice yearly to reflect new FINRA, SEC, MSRB and other regulators’ rules. This update is delivered in an electronic format for easy incorporation of new procedures into your firm’s manual, or we can make the updates for you.

Regulatory Compliance provides you with two options for your BD supervisory procedures manual:

  • Template manual: Purchase our comprehensive template and sample forms and customize them to fit your firm’s specific needs. Two templates are available: one covers all lines of business and the other is designed specifically for firms
  • Customized manual: Let us customize your written supervisory procedures manual to the structure and needs of your broker-dealer. Using information from a questionnaire that you complete, our experienced staff will create your manual based on your broker-dealer’s business model and supervisory structure. This manual is then delivered to you in either a printed or electronic format (or both if you prefer).

Email sales@regulatorycompliance.com for a quote or contact us here.

Learn more about our broker-dealer supervisory procedures manual in template and customized formats.

Continuing Education Firm Element Training Manual and Needs Analysis

Our training manual reflects current FINRA continuing education dictates and the training your firm will provide to your registered representatives to meet these requirements. The training manual includes Firm Element and Regulatory Element. We also provide a needs analysis questionnaire (NAQ) to determine the training needs of your representatives. This manual is available in template or customized format.

Broker-Dealer Anti-Money Laundering (AML) Procedures

Meet the anti-money laundering procedures dictate of the USA PATRIOT Act and FINRA Rule 3310 with our AML procedures manual. Our helpful procedures and reporting forms test your compliance with AML requirements. The manual and forms are available in template or customized format.

Business Continuity Plan (BCP)

FINRA Rule 4370 requires broker-dealers to establish emergency preparedness plans and procedures. Our fully customized Disaster Recovery (Business Continuity) Plan encompasses all regulations and provides peace of mind if disaster strikes. Call for a quote.

To learn more about any of our compliance services, contact us or call 1-888-Reg-Comp (1-888-734-2667).