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Policies + Procedures for Broker Dealers
Features and Benefits
Published by a leading compliance expert and legal contributors, Policies + Procedures for Broker Dealers is the most comprehensive, all-inclusive electronic solution to assembling, recording, and updating broker-dealer written supervisory procedures manuals required by regulators. With an integrated and customisable technology, Policies + Procedures for Broker Dealers will transform the way firms—both large and small—comply with the written procedure rules.
Policies + Procedures for Broker Dealers has been developed by a leading compliance expert and includes a wide range of subjects enabling you to create your own unique manual to meet your firm's needs. It represents a comprehensive compliance manual for the smallest to the largest broker-dealers.
Continually up-to-date
Subject to your final editing, your written supervisory procedures manual is complete and current from day one— and is routinely updated.
Easy distribution
Your manual can be installed on your network, our Policies + Procedures for Broker Dealers Internet site, or your company's Intranet, making distribution simple.
Store prior editions
Current versions and previous versions of your manual can be retained for ready reference.
Powerful searching
Powerful keyword searching and chapter navigation feature allows you to locate any particular procedure or rule reference in seconds.
Update notifications and regulatory insight
Capture bi-monthly update suggestions for amending your Policies + Procedures for Broker Dealers. Also features a Policies + Procedures for Broker Dealers Newsletter highlighting key current regulatory issues affecting your procedures.
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
