Series 14: 5.1.5. Written Supervisory Procedures

Taken from our Series 14 Online Guide

5.1.5. Written Supervisory Procedures

Just as the supervisory system determines how the responsibility for regulatory compliance is shared within the member firm, the written supervisory procedures (WSPs) document that system and instruct the supervisor as to how those responsibilities must be performed.

The member firm’s written supervisory procedures must record the names, tit

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