Series 27: Written Supervisory Procedures (WSPs)

Taken from our Series 27 Online Guide

Written Supervisory Procedures (WSPs)

The supervisory system describes how the responsibility for regulatory compliance is shared within the member firm. The written supervisory procedures (WSPs) document the supervisory system and instruct supervisors how to perform their responsibilities.

The member firm’s WSPs must record the names, titles, registrat

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Series 27: Written Supervisory Procedures (WSPs)

Taken from our Series 27 Online Guide

Written Supervisory Procedures (WSPs)

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