Use our thorough compliance manuals and updates to fulfill the specific regulatory requirements of broker-dealers and investment advisors.
Investment Adviser Compliance and Procedures Policies and Code of Ethics
Our Investment Adviser Compliance and Procedures Manual is designed to provide employees of the Registered Investment Advisor with the basic rules and policies for operating the company. The following are some of the important issues addressed: internal controls, supervision, correspondence, filings and disclosures to clients, establishing accounts, client relations, investment and trading practices, sales and advertising and more. The manual also includes: Code of Ethics, Anti-Money Laundering Procedures (if applicable), Business Continuity Plan, Privacy Notice & Procedures, and more.
Broker-Dealer Written Supervisory Procedures (WSP) Manual
Our Written Supervisory Procedures Manual outlines 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 and is delivered in an electronic format for easy incorporation of new procedures. Regulatory Compliance provides you with two options for our supervisory procedures manuals:
- Template manual: Purchase our comprehensive template and sample forms and customize them to fit your firm’s specific needs. Our template covers all lines of business and comes in Microsoft Word format for easy editing.
- Customized manual: Let us customize your Written Supervisory Procedures Manual to the structure and needs of your broker-dealer. Email sales@regulatorycompliance.com for a quote.
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.
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 (603) 434-3594.