FINRA updated their Written Supervisory Procedures Checklist this month. This update can be downloaded from the “Written Supervisory Procedures Checklist” link located at the bottom left of the FINRA link here: http://www.finra.org/industry/tools. Remember to check this against your old version and update your WSPs accordingly.
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Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes.