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The Broker-Dealer Written Supervisory Procedures Section on Standards of Conduct serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110
Source/Author(s): Brad Callen
6/January 11
Total Page Count/Format: 40/
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CPBD- Reg. BI Documentation Form for Client Recommendations Brad Callen The Broker-Dealer Written Supervisory ProceduresCompliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Documentation Form for Client Recommendations serves as an important tool to document what the broker dealers investment professional has reviewed or considered for account and product recommendations, including reasonably available alternatives. The form documents recommendation type (product or account related), account type (brokerage advisory),
