A broker/dealer’s written supervisory procedures (WSP) are the nucleus for the firm’s compliance and supervisory systems. The regulators always look to a firm’s WSPs to determine whether a firm has followed its written procedures for any given scenario. At BDCA, we create procedures that are meaningful, yet achievable. We make sure the WSPs for your firm actually reflect your practice so you don’t get cited by the regulators for not following your WSPs. To the extent feasible, we customize WSPs for each firm based on their actual practices. We strive to make your procedures fully compliant with all securities rules and regulations, yet flexible enough to accommodate the realistic demands of business.
The knowledgeable consultants on our staff offer years of experience in designing, creating and implementing WSPs for firms of all sizes and types. We are equipped to design and implement a new set of WSPs for your firm or review and update your current WSPs, depending on your needs. We are also available to monitor and maintain your firm’s WSPs to make sure they are current and reflect any new rules and regulations.
Please call us at (770) 263-6003 to find out how BDCA can help you with your WSPs.