Broker/Dealer Services   Our Services: Written Supervisory Procedures
 
 

Westcott and Associates, Ltd. will prepare and furnish Written Supervisory Procedures tailored to meet your firm's specific needs under a fixed rate contract. These Procedures will:

  • Comply with all Regulatory Requirements
  • Reflect the business conducted by the Firm and the manner in which it is conducted
  • Identify individuals responsible for performing the Supervisory Functions

For more information contact Westcott and Associates, Ltd. here or call (760) 438-8623 collect.