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Supervisory
Procedures
Supervisory Procedures are a necessary part of ensuring that every
broker dealer has adequate internal controls over the operation of
their firm. InvestmentCare Consulting Group can review your existing supervisory
procedures or develop customized supervisory procedures to meet your
specific needs.
Our customized Supervisory Procedures will include:
Cover all products and services offered by the firm.
For each supervisory procedure, provide a section listing who
is responsible, what will be reviewed, when and how often it will
be reviewed, and how the review will be documented.
Any rule changes or changes to your to business activities. We
will help your firm implement an effective supervisory system,
by providing the following services:
Develop and assist with the implementation of customized procedures.
Review and/or update your current procedures.
Advise of changes and updates to NASD rules as they apply to your
firm.
Assist in establishing policies and procedures for new products/services.
InvestmentCare Consulting Group
can save you time and money, as well as reduce your risk exposure
by preparing your supervisory procedures. For more information regarding
our online compliance services, please contact us at 818-386-6900.
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