Written Supervisory Procedures: Friend or Foe?
JOAN L. LAVELL
(President of J. Lavell & Associates, Inc. in Boulder, Colorado, and is the author of Written Supervisory Procedures, three broker‐dealer compliance manuals published by Compliance International, Inc.)
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Abstract
This article offers a practical approach to demonstrating the pitfalls of broker‐dealers not preparing written supervisory procedures. By showing examples of legal complications that can arise, as well as outlining the current regulatory directives in favor of written procedures, the author emphasizes that written supervisory procedures cannot be treated lightly or as a back‐burner issue.
Citation
LAVELL, J.L. (2000), "Written Supervisory Procedures: Friend or Foe?", Journal of Investment Compliance, Vol. 1 No. 1, pp. 35-41. https://doi.org/10.1108/eb045869
Publisher
:MCB UP Ltd
Copyright © 2000, MCB UP Limited