Written Supervisory Procedures


One platform to build and maintain a culture of compliance

Broker-Dealers, RIAs, and FCMs must create, implement, maintain, confirm, and review written supervisory policies and procedures to ensure regulatory compliance, reduce reputational exposure and avoid related financial consequences. FINRAL Rule 3130 also requires broker-dealers test and report on the firm’s written supervisory procedures effectiveness annually, and to store those policies and procedures in accordance with 17(a)-4 requirements.

Write. Track. Report. Done.

Patrina’s Written Supervisory Procedures Module streamlines development, distribution, oversight and compliance reporting of written supervisory policies and procedures. Update manuals, confirm employee acknowledgements, and comply with regulatory requests any time– all from a single dashboard.

Flexible. Comprehensive. Compliant.

One of 8 powerful modules built on the industry’s easiest-to-use interface, you can rely on Patrina’s Written Supervisory Procedures Module’s integrated dashboard to:

  • Create, edit and store your firm’s compliance manuals, and policies and procedures;
  • Assign employees to a specific manual or groups of manuals;
  • Push compliance manual updates to your employees;
  • Track which employees have acknowledged your changes and resend notifications to those who have yet to acknowledge them;
  • Time stamp all edits and acknowledgements for proof of compliance;
  • Reproduce a manual from any historical point in time on demand;
  • Easily add sections and subsections to your manuals;
  • Quickly drill down on content through Patrina’s powerful search function; and
  • Customize reports to meet internal and regulator demands.

Patrina’s that simple

Point. Click. Compliance..

So, when the regulators call, will you be ready?

Click here to schedule your Patrina demo or call +1.212.233.1155 today and we’ll help you do more, spend less, and reduce risk!


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