Broker-Dealer Compliance Manual Section 2- Standards of Conduct WSP Library The Attestation is used for

The Attestation is used for registered

The Form CRS Relationship Summary Template for Broker-Dealers is part of SEC’s Regulation Best Interest (Reg BI) due June 30

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 New Account Client Profile form collects information about an advisory client

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)

Broker-Dealer Compliance Manual Section 2- Standards of Conduct WSP Library The Attestation is used forThe 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