Registered Rep
Manual
Finally a registered rep manual that can be customized by the firm and is updated whenever necessary by the compliance professionals at NRS!
Unlike other Registered Rep manuals, the NRS Registered Rep Manual is:
The NRS Registered Representative Compliance Manual is the one source for your reps to have access to all firm policies and procedures, written from their perspective. Because we know that all firms have different procedures, we have allowed the firm’s administrator for the manual to add firm specific procedures to each section and to add additional sections, if necessary. In today’s environment, why risk your firm’s reputation?
Avoid the “I didn’t know I couldn’t do that” or “No one ever explained that to me” excuses. The firm now has this document, which includes an attestation for the rep to acknowledge that they were told, advised and guided – and also told to ask questions if anything was not understood. The online audit trail is a perfect resource for the firm to protect itself from unfounded criticism.
For more information please call 860-435-0200
Finally a registered rep manual that can be customized by the firm and is updated whenever necessary by the compliance professionals at NRS!
Unlike other Registered Rep manuals, the NRS Registered Rep Manual is:
Why distribute your Written Supervisory Policies and Procedures to your reps? It only provides your reps with the knowledge and know-how to avoid being caught. That is not good business practice and is not considered appropriate by the regulators.
- Customized based on the firm’s answers to questions about what they do
- Easily accommodates additional information or more specifics on the firm’s particular policies and procedures
- Available online for easy access by Reps at any time
- Inclusive of an email tool so you have one place from which to send email notifications (compliance alerts, policy changes, etc) to every rep at the same time.
- Updated whenever necessary
The NRS Registered Representative Compliance Manual is the one source for your reps to have access to all firm policies and procedures, written from their perspective. Because we know that all firms have different procedures, we have allowed the firm’s administrator for the manual to add firm specific procedures to each section and to add additional sections, if necessary. In today’s environment, why risk your firm’s reputation?
Avoid the “I didn’t know I couldn’t do that” or “No one ever explained that to me” excuses. The firm now has this document, which includes an attestation for the rep to acknowledge that they were told, advised and guided – and also told to ask questions if anything was not understood. The online audit trail is a perfect resource for the firm to protect itself from unfounded criticism.
For more information please call 860-435-0200
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