Series 26: Written Supervisory Procedures (WSPs)

Taken from our Series 26 Online Guide

Written Supervisory Procedures (WSPs)

While the supervisory system determines how the responsibility for regulatory compliance is shared within the member firm, the written supervisory procedures (WSPs) document the system and instruct the supervisor how to carry out those responsibilities.

The member firm’s WSPs must record the names, titles, registration status, a

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