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.
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.
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:
Patrina’s that simple
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