Our team will fully customize supervisory procedures to meet your specific needs, and we can also review and update your current supervisory and compliance procedures to ensure you are up to speed with the most current regulatory requirements. The procedures we provide may include specific manuals for each of the following: 

  • Written supervisory policies and procedures
  • Written supervisory controls policies and procedures (FINRA Rule 3120)
  • AML policies and procedures
  • Policies and procedures for registered representatives