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instructions about the advisory account and certain provisions that will govern the advisory relationship
Total Page Count/Format: 10/
as well as provide information on market holidays and events that may affect investment adviser business operations
2/February 1
The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources instructions about the advisory accountThe Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate
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