Supervision and Surveillance

NRS FIRE Solutions is pleased to announce the addition of Supervision and Surveillance to our Firm Element Continuing Education course catalog.

Supervision and Surveillance is intended for branch managers and supervising principals, compliance officers, and others interested in establishing and maintaining account surveillance procedures. Information in this course will help these financial professionals ensure that their member firm is in compliance with all applicable supervisory rules and regulations, and with the regulatory environment in which their firms operate.

This course covers FINRA Rule 3110, Supervision (effective December 2014), which applies to supervision and supervisory control systems. It discusses surveillance tools that can help a firm and its supervisory employees stay on the right side of the regulators and provide the best client experience.

Supervision and Surveillance also provides an overview of responsibilities for creating a compliance system with a risk management process that protects a firm from violations, fines, and fraud. It details ways in which policies, procedures, and reports are used to effectively supervise registered representatives and to create a culture of compliance by identifying patterns and trends that pose a risk to the firm and to clients.

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