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BD WSP Template v. Jan 2010
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Our Price: $850.00
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The Broker-Dealer Written Supervisory Procedures Template dictates not only the supervisory requirements of the FINRA, but also how to administer those procedures in a format that clearly states "who, what, when and how" the supervision will be accomplished. Over 60 forms are available covering all areas of BD needs with any WSP Template purchase. Available in Microsoft Word format only.
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RIA WSP Template v. Feb 2010
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Our Price: $595.00
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Compliance and Procedures Manual and Code of Ethics for Registered Investment Advisers. This manual is designed for a “generic” type of registered adviser and the regulatory authorities do not favor a “boiler plate” presentation, users are urged to devote some time to customizing this manual so that it addresses the compliance needs of the user’s particular business. In that way the manual will achieve its maximum effectiveness as a compliance tool. Includes Anti-Money Laundering procedures, Business Continuity Plan, Code of Ethics, Privacy Notice and Procedures, sample Client Agreement and more. Available in Microsoft Word only.
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Annual Compliance Meeting Template 2008
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Our Price: $500.00
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The PowerPoint presentation template meets FINRA requirements for conducting an annual compliance meeting and can be tailored to your firm’s line of business in just minutes. Select the industry “hot topics” that apply to your firm, modify presentation slides as needed, and print handouts of the slides and notes section. During your presentation, helpful instructor’s notes provide background information.
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BD Anti-money Laundering Compliance Program
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Our Price: $395.00
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2009 Compliance Calendar
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Our Price: $35.00
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The compliance calendar for 2009 addresses important investment advisor compliance dates as well as broker dealer compliance dates and deadlines. Each month identifies regulatory compliance deadlines and reminders as well as looking ahead at future months. Regulatory Compliance offers this calendar to Chief Compliance Officers of our Compliance Partners at no charge. To purchase more compliance calendars for your registered reps, order now. While supplies last!
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RIA Compliance Risk Policies & Procedures Testing
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Our Price: $295.00
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Compliance Matrix includes questions for testing the investment advisor's compliance policies and procedures. Topics include: IARD/CRD, Filings & Reports, Form ADV/Brochure Disclosure & Delivery, Investment Advisory Agreements, Custody, Books & Records, Financial Condition of the Firm, Internal Controls, Suitability, Portfolio Management, Prohibited Transactions, Conflicts of Interest, Brokerage/Trade Execution, Marketing Material, Perfomance Calculations, Compensation/Client Fees, Client Referrals, Proxy Voting, Regulation S-P, Anti-Money Laundering (AML), Disaster Recovery
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Update Supplement to WSP Template for July 2009
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Our Price: $175.00
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The WSP Update Supplement for Mid-year 2009 (released July 2009) addresses sections that you will need to review and adjust to your firm’s specific procedures. Follow the instructions to copy and paste while paying particular attention to language that you may have already customized in your existing Written Supervisory Procedures manual. As a part of NASD Rule 3012 and FINRA Rule 3130 pertaining to testing and verification of your firm’s procedures, Regulatory Compliance strongly urges you to take this opportunity to review your WSP to ascertain if all procedures are accurately reflected in the manual or if adjustments should be made. Please be aware that any reference to “Firm Name” needs to be replaced with your company name. Also, any tables that you are instructed to replace will need to be updated with the appropriate supervisory principal’s name.
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Annual Compliance Meeting Template 2009
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Our Price: $500.00
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The PowerPoint presentation template meets FINRA requirements for conducting an annual compliance meeting and can be tailored to your firm’s line of business in just minutes. Select the industry “hot topics” that apply to your firm, modify presentation slides as needed, and print handouts of the slides and notes section. During your presentation, helpful instructor’s notes provide background information.
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2010 Compliance Calendar
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Our Price: $35.00
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The compliance calendar for 2009 addresses important investment advisor compliance dates as well as broker dealer compliance dates and deadlines. Each month identifies regulatory compliance deadlines and reminders as well as looking ahead at future months. Regulatory Compliance offers this calendar to Chief Compliance Officers of our Compliance Partners at no charge. To purchase more compliance calendars for your registered reps, order now. While supplies last!
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Identity Theft Protection Template for broker-dealers
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Our Price: $195.00
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Satisfies Fact Act Rules, Red Flag Rules.
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