Broker-Dealer Compliance Manual Section 2- Standards of Conduct WSP Library 9-03312024

9-03312024

The Anti-Money Laundering (AML) Preliminary Audit Questionnaire is typically submitted to broker-dealers to complete in advance of their upcoming AML independent testing requirements in accordance with FINRA Rule 3110

The NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500)

The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model

2/September 26

Broker-Dealer Compliance Manual Section 2- Standards of Conduct WSP Library 9-03312024The Broker Dealer Written Supervisory Procedures Section on Standards of Conduct 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 conduct standards. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and