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The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies
Version/Update: V4-09302023
The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations
SEC Registered Investment Adviser Compliance Manual- Proxy Voting Investment Adviser Total Page Count: 6The Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes five (5) separate sections and exhibit list that help firms outline
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