Compliance Manual & Written Supervisory Procedures

Below you will find links to our Compliance Manual and our Written Supervisory Procedures. Our Compliance Manual has been written to be easier to navigate and provide our Reps with the resources they need to make smart business decisions. Conversely, our Written Supervisory Procedures are drafted with the detail necessary for our registered principals to conduct ongoing supervision of the activities covered within the Compliance Manual. Each section topic within the Compliance Manual matches the same section number and topic in the Written Supervisory Procedures. 

In addition to the Compliance Manual and Written Supervisory Procedures, we have added resources on various topics that our regulators have expressed a recent interest in. 



Compliance Manual

Table of Contents CM

Written Supervisory Procedures

WSP – 09 06 2023