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BD- Written Supervisory Procedure (WSP) Attestation
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BD- Written Supervisory Procedure (WSP) Attestation
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BD- Written Supervisory Procedure (WSP) AttestationThe Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker dealers requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. The Attestation is used for registered, non registered covered persons and or associated persons who conduct broker
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The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. The Attestation is used for registered, non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures.
Version/Update: V.4/May 22, 2018
Total Page Count: 1
Source/Author(s): Connexien
BD- Written Supervisory Procedure (WSP) Attestation
Item no
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20208821977
US$ 25.00
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