Writing the Firm's Bible

Published Monday, May 01, 2006

Maybe the last time you looked at it was on your first morning at work. I'm talking about the gospel of do's and don'ts collected in a three-ringed binder and, just maybe, in some computer folder — your firm's Written Supervisory Procedures (WSPs). If you've ignored it because you think it's a joke, keep in mind that the NASD doesn't share your opinion. It's certainly no joke for your firm. Take, for example, the case of Keating Securities (AWC/E3A20 040024-01/ January 2006). The NASD found, among other things, flaws in the Greenwood, Colo., firm's anti-money laundering program. The ...

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