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2/February 1
Members also downloaded 2021 Investment Adviser Year-end Compliance Checklist
instructions about the advisory account and certain provisions that will govern the advisory relationship
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Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources 2/February 1The 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
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