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Description
Broker-Dealer Compliance Manual Section 14- Private PlacementsThe Broker Dealer Written Supervisory Procedures Section on Private Placements 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 helps firms outline and implement effective supervisory processes regarding a firms private offerings. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes
The Broker-Dealer Written Supervisory Procedures Section on Private Placements serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s private offerings. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes twelve (12) separate sections help firms outline effective supervisory processes that can be further customized to align with their specific business model. Recent updates include Reg. A/A+ and Crowdfunding (CF).
Version/Update: V9-12012023
Total Page Count/Format: 42/.docx
Source/Author(s): Connexien
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