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Supervisory Procedures


Supervisory Procedures are a necessary part of ensuring that every broker dealer has adequate internal controls over the operation of their firm. InvestmentCare Consulting Group can review your existing supervisory procedures or develop customized supervisory procedures to meet your specific needs. Our customized Supervisory Procedures will include:

  • Cover all products and services offered by the firm.
  • For each supervisory procedure, list who is responsible, what will be reviewed, when and how often it will be reviewed, and how the review will be documented.
  • Any rule changes or changes to your to business activities. We will help your firm implement an effective supervisory system, by providing the following services:
  • Develop and assist with the implementation of customized procedures.
  • Review and/or update your current procedures.
  • Advise of changes and updates to NASD rules as they apply to your firm.
  • Assist in establishing policies and procedures for new products/services.
  • InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure by preparing your supervisory procedures. For more information regarding our supervisory procedure services, please contact us at 818-386-6900.

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