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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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Identity Theft Program for Investment Advisers
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Our Price: $195.00
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Over the past decade, the incidence of breaches of confidential information and identity theft has grown exponentially. To address these problems, the federal government and most states have adopted rules and regulations to try to protect non-public information and protect the identity of individuals. While most states only require notification once a breach has been detected, the Commonwealth of Massachusetts has enacted a law that requires firms that do business with Massachusetts residents, and that receive or store non-public information on these residents, to develop procedures to protect this information at all times, to educate their personnel regarding these requirements, and to inform the state of any breaches to their information systems. The Investment Adviser Identity Theft Protection Template addresses these requirements and also informs Investment Advisers how to administer those procedures a firm can take to implement identity theft protection for its clients.
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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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Continuing Education Template and Needs Analysis 2012
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Our Price: $350.00
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Regulatory Compliance’s “Continuing Education Program and Firm Element Training Plan” has been created to meet the requirements described in Membership Rule 1120 and includes an annual Needs Analysis survey. This Needs Assessment is a requirement in the formulation of the Firm Element, under rules mandated by FINRA, NYSE and related Self Regulatory Organizations (SROs), and will be used by the firm to formulate its continuing education focus.
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BD WSP Updates January and June 2012
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Our Price: $375.00
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The WSP Update Supplement for Broker-Dealers 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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BD Anti-money Laundering Compliance Program
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Our Price: $475.00
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This program helps ensure that the business is run in accordance with FINRA Consolidated Rule 3310. The template also offers firms ways to administer anti-money laundering procedures in an effort to comply with the applicable requirements under the USA PATRIOT Act and the Bank Secrecy Act. This program can be used to assist in creating policies and procedures for your firm help in the process of detecting and deterring potential money laundering activities by customers.
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BD Annual Compliance Meeting Template 2013
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Our Price: $595.00
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Our Templated Annual Compliance Meeting PowerPoint presentation is the perfect tool for conducting your required Annual Compliance Meeting with your staff. This complete 42 page presentation is easily customizable so you can deliver a presentation that will resonate with your staff.
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BD WSP Template - Jan 2013
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Our Price: $900.00
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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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FINRA Rules 3012 and 3130 Documents Package
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Our Price: $1,995.00
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Assists with complying with FINRA 3012 and FINRA 3130. Package includes: Template for Rule 3012 Testing and Verification Report, 3130 Annual Compliance and Supervision Certification, Rule 3012 Testing Checklist, and 17 testing modules.
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